Tulio F Batista

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2026-03-10
ND	RA	APPROVED	2026-03-06
GA	RA	APPROVED	2026-03-03
LA	RA	APPROVED	2026-03-02
NE	RA	APPROVED	2026-03-02
NM	RA	APPROVED	2026-03-02
VI	RA	APPROVED	2026-03-02
AL	RA	APPROVED	2026-02-27
AK	RA	APPROVED	2026-02-27
DE	RA	APPROVED	2026-02-27
IA	RA	APPROVED	2026-02-27
KS	RA	APPROVED	2026-02-27
ME	RA	APPROVED	2026-02-27
MD	RA	APPROVED	2026-02-27
MN	RA	APPROVED	2026-02-27
MT	RA	APPROVED	2026-02-27
NC	RA	APPROVED	2026-02-27
PR	RA	APPROVED	2026-02-27
TX	RA	APPROVED	2026-02-27
UT	RA	APPROVED	2026-02-27
FL	RA	APPROVED	2026-01-26
NY	RA	APPROVED	2026-01-23

DC RA
APPROVED

Since 2026-03-10
ND RA
APPROVED

Since 2026-03-06
GA RA
APPROVED

Since 2026-03-03
LA RA
APPROVED

Since 2026-03-02
NE RA
APPROVED

Since 2026-03-02
NM RA
APPROVED

Since 2026-03-02
VI RA
APPROVED

Since 2026-03-02
AL RA
APPROVED

Since 2026-02-27
AK RA
APPROVED

Since 2026-02-27
DE RA
APPROVED

Since 2026-02-27
IA RA
APPROVED

Since 2026-02-27
KS RA
APPROVED

Since 2026-02-27
ME RA
APPROVED

Since 2026-02-27
MD RA
APPROVED

Since 2026-02-27
MN RA
APPROVED

Since 2026-02-27
MT RA
APPROVED

Since 2026-02-27
NC RA
APPROVED

Since 2026-02-27
PR RA
APPROVED

Since 2026-02-27
TX RA
APPROVED

Since 2026-02-27
UT RA
APPROVED

Since 2026-02-27
FL RA
APPROVED

Since 2026-01-26
NY RA
APPROVED

Since 2026-01-23

Branch Locations

Miami, FL • United States

1441 Brickell Avenue, 16Th Floor, Miami, FL 33131 • 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

Organization	City	State	From	To
Banco Do Brasil Securities	New York	NY	07/2008	05/2021
Banco Do Brasil	New York	NY	01/2006	05/2021
Jpmorgan Chase Bank Na	Miami	FL	06/2021	12/2025
Jpmorgan Securities Llc	Miami	FL	06/2021	12/2025
Baffon Holdings, Llc	Sheridan	WY	03/2020	08/2024
Ht Empreendimentos E Administradora De Imoveis Ltda	Sao Paulo		06/2020	01/2026
Hsbc Bank Usa, N.A.	Miami	FL	01/2026	Present
Hsbc Securities (Usa) Inc.	Miami	FL	01/2026	Present

07/2008 → 05/2021

Banco Do Brasil Securities

New York, NY
01/2006 → 05/2021

Banco Do Brasil

New York, NY
06/2021 → 12/2025

Jpmorgan Chase Bank Na

Miami, FL
06/2021 → 12/2025

Jpmorgan Securities Llc

Miami, FL
03/2020 → 08/2024

Baffon Holdings, Llc

Sheridan, WY
06/2020 → 01/2026

Ht Empreendimentos E Administradora De Imoveis Ltda

Sao Paulo
01/2026 → Present

Hsbc Bank Usa, N.A.

Miami, FL
01/2026 → Present

Hsbc Securities (Usa) Inc.

Miami, FL

Previous Registrations

2025-06-23 → 2026-01-02

J.P. Morgan Securities Llc

Miami, FL

Other Businesses

1. The name of the other business : HT Empreendimentos e Administradora de Imoveis Ltda 2. Whether the business is investment related: No 3. The address of the other business : Rua Adelina, 86, Vila Mazzei - Sao Paulo- cep: 02309-060 - Brazil 4. The nature of the other business: Real Estate 5. Your position: Owner/Partner 6. Title/Relationship with the other business: : Owner/Partner 7. The start date of your relationship: 06/30/2020 8. The approximate number of hours/month you devote to the other business: 0-10 Hours 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: I have 50% participation in the LLC that is focused in the development and management of real estate properties in Brazil. There is no similarity with my HSBC role.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-05-31
S63	Uniform Securities Agent State Law Examination	2021-08-28

S65 Uniform Investment Adviser Law Examination

2025-05-31
S63 Uniform Securities Agent State Law Examination

2021-08-28

Other Names

Tulio Ferreira Batista
Tulio F Batista
Tulio Batista

View on SEC IAPD