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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-10-23 |
| CA | RA | APPROVED | 2020-10-09 |
Branch Locations
40982 Fremont Blvd, Fremont, CA 94538 • United States
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
39265 Paseo Padre Pkwy, Fremont, CA 94538 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Fremont | CA | 08/2013 | 10/2020 |
| Hsbc Bank Usa, N.A. | Fremont | CA | 08/2016 | 10/2020 |
| Wells Fargo Clearing Services, Llc | Fremont | CA | 10/2020 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; PITTSBURG,CA; 100% OWNERSHIP; START DATE 08/01/2015; NUMBER OF HOURS PER MONTH 0.5; NUMBER OF HOURS DURING TRADING 0; OWNER. IN-HOME SUPPORTIVE SERVICES (IHSS) PROGRAM; NOT INV RELATED; OAKLAND,CA; PROVIDE CARE; CAREGIVER; START DATE: 12/31/2025; 80 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-19 |
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