Peter Joseph Curtin

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:

Current Employers

Hsbc Securities (Usa) Inc.

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-08
NC	RA	APPROVED	2020-07-23
UT	RA	APPROVED	2018-10-11
IA	RA	APPROVED	2014-04-29
DC	RA	APPROVED	2013-09-09
TX	RA	APPROVED_RES	2013-08-29
MD	RA	APPROVED	2013-08-20
GA	RA	APPROVED	2012-05-23
NJ	RA	APPROVED	2010-09-14

NY RA
APPROVED

Since 2021-07-08
NC RA
APPROVED

Since 2020-07-23
UT RA
APPROVED

Since 2018-10-11
IA RA
APPROVED

Since 2014-04-29
DC RA
APPROVED

Since 2013-09-09
TX RA
APPROVED_RES

Since 2013-08-29
MD RA
APPROVED

Since 2013-08-20
GA RA
APPROVED

Since 2012-05-23
NJ RA
APPROVED

Since 2010-09-14

Branch Locations

430 Park Avenue, New York, NY 10022 • United States

Hawthorne, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Hsbc Securities (Usa) Inc.	New York	NY	04/2013	Present
Hsbc Bank Usa, N.A.	New York	NY	08/2016	Present

04/2013 → Present

Hsbc Securities (Usa) Inc.

New York, NY
08/2016 → Present

Hsbc Bank Usa, N.A.

New York, NY

Other Businesses

Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc. . The name of the other business: Holy Innocents Church 2. Whether the business is investment-related: No. It has nothing to do with finance/investments. 3. The address of the other business: 431 Bedford Road Pleasantville, NY 10570 4. The nature of the other business: Religious 5. Your position: Teacher 6. Title/Relationship with the other business: Director 7. The start date of your relationship: 9/8/2026 8. The approximate number of hours/months you devote to the other business: 4 days per annum 9. The number of hours you devote to the other business during securities trading hours: None 10. Briefly describe your duties relating to the other business Educate parents on their religious faith

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-11
S63	Uniform Securities Agent State Law Examination	2007-04-26

S65 Uniform Investment Adviser Law Examination

2010-10-11
S63 Uniform Securities Agent State Law Examination

2007-04-26

View on SEC IAPD