Charles Garlock

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
MA	RA	APPROVED	2018-02-20
AZ	RA	APPROVED	2017-07-20
DC	RA	APPROVED	2017-07-19
GA	RA	APPROVED	2017-07-13
VT	RA	APPROVED	2017-06-28
WV	RA	APPROVED	2017-06-28
NV	RA	APPROVED	2017-06-27
FL	RA	APPROVED	2017-06-26
VI	RA	APPROVED	2017-06-26
ND	RA	APPROVED	2017-06-24
MT	RA	APPROVED	2017-06-23
NJ	RA	APPROVED	2017-06-23
NM	RA	APPROVED	2017-06-23
OH	RA	APPROVED	2017-06-23
SD	RA	APPROVED	2017-06-23
UT	RA	APPROVED	2017-06-23
AL	RA	APPROVED	2017-06-22
AK	RA	APPROVED	2017-06-22
AR	RA	APPROVED	2017-06-22
CA	RA	APPROVED	2017-06-22
CO	RA	APPROVED	2017-06-22
CT	RA	APPROVED	2017-06-22
DE	RA	APPROVED	2017-06-22
HI	RA	APPROVED	2017-06-22
ID	RA	APPROVED	2017-06-22
IL	RA	APPROVED	2017-06-22
IN	RA	APPROVED	2017-06-22
IA	RA	APPROVED	2017-06-22
KS	RA	APPROVED	2017-06-22
KY	RA	APPROVED	2017-06-22
LA	RA	APPROVED	2017-06-22
ME	RA	APPROVED	2017-06-22
MD	RA	APPROVED	2017-06-22
MI	RA	APPROVED	2017-06-22
MN	RA	APPROVED	2017-06-22
MS	RA	APPROVED	2017-06-22
MO	RA	APPROVED	2017-06-22
NE	RA	APPROVED	2017-06-22
NH	RA	APPROVED	2017-06-22
NC	RA	APPROVED	2017-06-22
OK	RA	APPROVED	2017-06-22
OR	RA	APPROVED	2017-06-22
PA	RA	APPROVED	2017-06-22
PR	RA	APPROVED	2017-06-22
RI	RA	APPROVED	2017-06-22
SC	RA	APPROVED	2017-06-22
TX	RA	APPROVED	2017-06-22
VA	RA	APPROVED	2017-06-22
WA	RA	APPROVED	2017-06-22
WI	RA	APPROVED	2017-06-22

MA RA
APPROVED

Since 2018-02-20
AZ RA
APPROVED

Since 2017-07-20
DC RA
APPROVED

Since 2017-07-19
GA RA
APPROVED

Since 2017-07-13
VT RA
APPROVED

Since 2017-06-28
WV RA
APPROVED

Since 2017-06-28
NV RA
APPROVED

Since 2017-06-27
FL RA
APPROVED

Since 2017-06-26
VI RA
APPROVED

Since 2017-06-26
ND RA
APPROVED

Since 2017-06-24
MT RA
APPROVED

Since 2017-06-23
NJ RA
APPROVED

Since 2017-06-23
NM RA
APPROVED

Since 2017-06-23
OH RA
APPROVED

Since 2017-06-23
SD RA
APPROVED

Since 2017-06-23
UT RA
APPROVED

Since 2017-06-23
AL RA
APPROVED

Since 2017-06-22
AK RA
APPROVED

Since 2017-06-22
AR RA
APPROVED

Since 2017-06-22
CA RA
APPROVED

Since 2017-06-22
CO RA
APPROVED

Since 2017-06-22
CT RA
APPROVED

Since 2017-06-22
DE RA
APPROVED

Since 2017-06-22
HI RA
APPROVED

Since 2017-06-22
ID RA
APPROVED

Since 2017-06-22
IL RA
APPROVED

Since 2017-06-22
IN RA
APPROVED

Since 2017-06-22
IA RA
APPROVED

Since 2017-06-22
KS RA
APPROVED

Since 2017-06-22
KY RA
APPROVED

Since 2017-06-22
LA RA
APPROVED

Since 2017-06-22
ME RA
APPROVED

Since 2017-06-22
MD RA
APPROVED

Since 2017-06-22
MI RA
APPROVED

Since 2017-06-22
MN RA
APPROVED

Since 2017-06-22
MS RA
APPROVED

Since 2017-06-22
MO RA
APPROVED

Since 2017-06-22
NE RA
APPROVED

Since 2017-06-22
NH RA
APPROVED

Since 2017-06-22
NC RA
APPROVED

Since 2017-06-22
OK RA
APPROVED

Since 2017-06-22
OR RA
APPROVED

Since 2017-06-22
PA RA
APPROVED

Since 2017-06-22
PR RA
APPROVED

Since 2017-06-22
RI RA
APPROVED

Since 2017-06-22
SC RA
APPROVED

Since 2017-06-22
TX RA
APPROVED

Since 2017-06-22
VA RA
APPROVED

Since 2017-06-22
WA RA
APPROVED

Since 2017-06-22
WI RA
APPROVED

Since 2017-06-22

Branch Locations

Lockport, NY • United States

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

Organization	City	State	From	To
Lpl Financial Llc	Orchard Park	NY	05/2015	09/2016
Key Investment Services Llc	Brooklyn	OH	09/2016	10/2016
Hsbc Securities (Usa) Inc.	Depew	NY	10/2016	Present
First Niagara	Orchard Park	NY	01/2016	10/2016

05/2015 → 09/2016

Lpl Financial Llc

Orchard Park, NY
09/2016 → 10/2016

Key Investment Services Llc

Brooklyn, OH
10/2016 → Present

Hsbc Securities (Usa) Inc.

Depew, NY
01/2016 → 10/2016

First Niagara

Orchard Park, NY

Previous Registrations

2016-09-21 → 2016-09-30

Key Investment Services Llc

Brooklyn, OH
2015-08-03 → 2016-09-21

Lpl Financial Llc

Lockport, NY

Orchard Park, NY

Other Businesses

REAL ESTATE RENTAL/OWNER/1%/ LOCKPORT, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-07-31

S66 Uniform Combined State Law Examination

2015-07-31

View on SEC IAPD