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Jeffrey Thomas Converse

Hsbc Securities (Usa) Inc.

Cheektowaga, NY

Buffalo, NY

CRD 5686771

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2022-10-28
  • NY RA
    APPROVED
    Since 2022-10-28

Branch Locations

Cheektowaga, NY • United States

Larkin Square, 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • 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 Bank Usa, N.A. Depew NY 07/2013 Present
Hsbc Securities (Usa) Inc. Depew NY 02/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-04
S63 Uniform Securities Agent State Law Examination 2009-07-17
  • S65 Uniform Investment Adviser Law Examination
    2015-06-04
  • S63 Uniform Securities Agent State Law Examination
    2009-07-17
Other Names
  • Jeffrey Thomas Converse
  • Jeffrey T Converse

View on SEC IAPD

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