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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2026-08-04
ME RA APPROVED 2026-07-14
DE RA APPROVED 2023-02-22
TX RA APPROVED_RES 2022-07-31
NY RA APPROVED 2021-07-07
NC RA APPROVED 2018-05-22
NJ RA APPROVED 2009-10-30
  • DC RA
    APPROVED
    Since 2026-08-04
  • ME RA
    APPROVED
    Since 2026-07-14
  • DE RA
    APPROVED
    Since 2023-02-22
  • TX RA
    APPROVED_RES
    Since 2022-07-31
  • NY RA
    APPROVED
    Since 2021-07-07
  • NC RA
    APPROVED
    Since 2018-05-22
  • NJ RA
    APPROVED
    Since 2009-10-30

Branch Locations

Brooklyn, NY • United States

6702 Bay Parkway, Brooklyn, NY 11204 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hsbc Securities (Usa) Inc. Brooklyn NY 04/2013 Present
Hsbc Bank Usa, N.A. Brooklyn NY 08/2016 Present
Previous Registrations
  • 2009-05-02 → 2009-10-15
    Chase Investment Services Corp.
    Brooklyn, NY
  • 2006-05-22 → 2009-05-02
    Wamu Investments, Inc.
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Howard Beach, NY
    Brooklyn, 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-19
S63 Uniform Securities Agent State Law Examination 1995-05-08
  • S65 Uniform Investment Adviser Law Examination
    2006-05-19
  • S63 Uniform Securities Agent State Law Examination
    1995-05-08

View on SEC IAPD

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