Dufresne Nicolas

Employer firm

Hsbc Securities (Usa) Inc. CRD 19585

$3.84B regulatory AUM

Reported services (Item 5G)

• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 05/2018
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 06/2016 → 05/2018
  Morgan Stanley
  Kingston, NY
• 05/2018 → 04/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  White Plains, NY
• 05/2024 → Present
  Hsbc Bank Usa National Association
  New York, NY
• 05/2024 → Present
  Hsbc Securities (Usa) Inc.
  New York, NY

Previous Registrations

• 2018-08-22 → 2024-04-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  White Plains, NY
  Las Vegas, NV
  Hartford, CT
• 2018-04-24 → 2018-05-21
  Morgan Stanley
  Purchase, NY
  Pearl River, NY
  Purchase, NY
  Paramus, NJ
  Hartford, CT
  Albany, NY
  Kingston, NY
  Poughkeepsie, NY

Other Businesses

1. The name of the other business - Real Estate/Condo 2. Whether the business is investment-related: RENTAL PROPERTY THAT I WILL USE ONE OR TWICE A YEAR. THE ONLY INVESTMENT-RELATED PART OF THE BUSINESS IS THE FACT THAT IT IS REAL ESTATE. 3. The address of the other business - 116 CYPRESS POINT COURT #102, MYRTLE BEACH, SC 29579 4. The nature of the other business: Real Estate/Condo 5. Your position: Owner 6. Title/Relationship with the other business: Owner 7. The start date of your relationship: 6/1/2025 8. The approximate number of hours/month you devote to the other business: LESS THAN 1 HOUR PER MONTH WHEN I AM NOT VISITING THE LOCATION. WHEN VISITING THE LOCATION, ONCE OR TWICE PER YEAR, IT MAY BE ABOUT 5 HOURS THAT WEEK. 9. The number of hours you devote to the other business during securities trading hours: ZERO HOURS DEVOTED DURING SECURITIES TRADING HOURS 10. Briefly describe your duties relating to the other business: MY ONLY DUTIES WOULD BE TO PAY A BILL OR TO CHANGE SOMETHING IN THE UNIT THAT MAY REQUIRE REPLACINIG AND A PROFESSIONAL (IE: HANDYMAN) WOULD NEED TO COME AND FIX.

Exams

• S66 Uniform Combined State Law Examination
  2018-04-23
• S63 Uniform Securities Agent State Law Examination
  1993-11-16

Other Names

• Dufresne J Nicolas
• Didi Nicolas
• Dufresne Jean Nicolas