Dion Ross

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-04-23
NY	RA	APPROVED	2024-04-23

NJ RA
APPROVED

Since 2024-04-23
NY RA
APPROVED

Since 2024-04-23

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank	New York	NY	08/2011	01/2024
J.P. Morgan Securities Llc	New York	NY	10/2012	01/2024
Hsbc Bank Usa National Association	New York	NY	01/2024	Present
Hsbc Securities Usa Inc.	New York	NY	01/2024	Present

08/2011 → 01/2024

Jpmorgan Chase Bank

New York, NY
10/2012 → 01/2024

J.P. Morgan Securities Llc

New York, NY
01/2024 → Present

Hsbc Bank Usa National Association

New York, NY
01/2024 → Present

Hsbc Securities Usa Inc.

New York, NY

Other Businesses

1. The name of the other business - ShopRite of Brookdale 2. Whether the business is investment-related: No, this is not investment related. 3. The address of the other business - 1409 Broad St., Bloomfield, NJ 07003 4. The nature of the other business: Supermarket 5. Your position: Meat Clerk/Apprentice Butcher 6. Title : Meat Clerk/Apprentice Butcher 7. Relationship with the other business: This business is my local supermarket where I plan to work part time on the weekends. That is the extent of my affiliation with the business. 8. The start date of your relationship: 1/18/2025 9. The approximate number of hours/month you devote to the other business; Only on the weekends for a total of 16 hours (two -8 hour shifts) per week. 10. The number of hours you devote to the other business during securities trading hours: Zero 11. Briefly describe your duties relating to the other business: Meat Clerk/Apprentice Butcher at my local supermarket. Assist and advising supermarket customers with their meat requests.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-04-22
S63	Uniform Securities Agent State Law Examination	2006-06-19

S66 Uniform Combined State Law Examination

2024-04-22
S63 Uniform Securities Agent State Law Examination

2006-06-19