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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-12
IL RA APPROVED 2020-03-20
RI RA APPROVED 2020-03-11
IN RA APPROVED 2020-03-10
LA RA APPROVED 2020-03-10
PA RA APPROVED 2020-03-09
NJ RA APPROVED 2019-06-10
UT RA APPROVED 2019-06-10
FL RA APPROVED 2017-01-19
  • NY RA
    APPROVED
    Since 2021-07-12
  • IL RA
    APPROVED
    Since 2020-03-20
  • RI RA
    APPROVED
    Since 2020-03-11
  • IN RA
    APPROVED
    Since 2020-03-10
  • LA RA
    APPROVED
    Since 2020-03-10
  • PA RA
    APPROVED
    Since 2020-03-09
  • NJ RA
    APPROVED
    Since 2019-06-10
  • UT RA
    APPROVED
    Since 2019-06-10
  • FL RA
    APPROVED
    Since 2017-01-19

Branch Locations

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

Hollywood, FL • United States

2950 Aventura Blvd., Aventura, FL 33180 • 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
OrganizationCityStateFromTo
Brickell Bank Miami FL 07/2015 11/2016
Brickell Global Markets, Inc. Miami FL 07/2015 11/2016
Brickell Global Advisory, Inc. Miami FL 07/2015 11/2016
Brickell Global Insurance, Inc. Miami FL 11/2015 11/2016
Hsbc Bank Usa National Association Miami FL 12/2016 Present
Hsbc Securities Usa, Inc. Mimai FL 12/2016 Present
  • 07/2015 → 11/2016
    Brickell Bank
    Miami, FL
  • 07/2015 → 11/2016
    Brickell Global Markets, Inc.
    Miami, FL
  • 07/2015 → 11/2016
    Brickell Global Advisory, Inc.
    Miami, FL
  • 11/2015 → 11/2016
    Brickell Global Insurance, Inc.
    Miami, FL
  • 12/2016 → Present
    Hsbc Bank Usa National Association
    Miami, FL
  • 12/2016 → Present
    Hsbc Securities Usa, Inc.
    Mimai, FL
Previous Registrations
  • 2012-11-09 → 2016-11-22
    Brickell Global Advisory, Inc.
    Miami, FL
Other Businesses

1 - Portina LLC; 2 - No investment-related; 3 - 2719 Hollywood BLVD, Unit #7034, Hollywood, Florida 33020; 4 - E-Commerce; 5 - Owner 6 - Owner 7 - Owner 8 - 08/11/2022 as the official date the company was established; 09/15/2022 as my starting date. 9 - 48 hours/month 10 - zero hours devoted to the other business during securities trading hours; 11 - Business and Operations planning for an E-Commerce platform business 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
S66 Uniform Combined State Law Examination 2012-10-17
  • S66 Uniform Combined State Law Examination
    2012-10-17
Other Names
  • Diogo Palhava De Sousa Holstein
  • Diogo Holstein

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