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1155 Avenue Of The Americas 17Th Floor, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-23 |
| TX | RA | APPROVED | 2022-12-21 |
| CT | RA | APPROVED | 2022-11-08 |
Branch Locations
1155 Avenue Of The Americas, 17Th Floor, New York, NY 10036
1155 Avenue Of The Americas, 17Th Floor, New York, NY 10036 • United States
235 Montgomery Street, Suite 1026, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc | New York | NY | 04/2017 | 12/2019 |
| Hongkong And Shanghai Banking Corporation Limited | Hong Kong | 06/2009 | 04/2017 | |
| The Interface Financial Group | Bethesda | MD | 03/2020 | 07/2022 |
| Clsa Americas, Llc | New York | NY | 08/2022 | Present |
| Citic Securities International Usa, Llc | New York | NY | 10/2022 | Present |
There are two OBAs (1) Maddyloo Hong Kong Limited, non investment related, 180 Hennessy Road, 5F, Wan Chai, Hong Kong, fashion accessory business, Director, no relationship with other business, Feb 2014, 4 hours/month, 0 hours/month, administrative duties (2)Journe Society, non investment related, 17 Rue de l'Arquebuse, Geneva 1204, watch club, Director/President, no other relationship with other business, April 2016, 4 hours/month, 0 hours/month, administrative duties. Is also CEO of CSI-USA. (CSI-USA is reflected in employment history.) Is also on the Board and is President of CLSA Americas Holdings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-02-27 |
| S66 | Uniform Combined State Law Examination | 2022-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-02 |
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