Alberto Mattos

$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:

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

Current Registrations

Authority	Category	Status	Date
PR	RA	APPROVED	2026-07-06
DC	RA	APPROVED	2026-03-31
GA	RA	APPROVED	2026-02-10
DE	RA	APPROVED	2026-02-09
LA	RA	APPROVED	2026-02-09
NM	RA	APPROVED	2026-01-30
MD	RA	APPROVED	2024-05-15
NC	RA	APPROVED	2024-05-15
TX	RA	APPROVED	2024-02-19
NJ	RA	APPROVED	2023-09-20
NY	RA	APPROVED	2023-09-20

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Hsbc Bank Usa, N.A.	Jersey City	NJ	07/2008	02/2017
Hsbc Bank Usa, N.A.	New York	NY	11/2017	08/2018
Hsbc Securities Usa, Inc	New York	NY	09/2018	Present
Hsbc Bank Usa, N.A.	New York	NY	08/2018	Present
Hsbc Securities Usa, Inc.	New York	NY	02/2017	11/2017
Hsbc Bank Usa, N.A.	New York	NY	02/2017	11/2017

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-09-20
S63	Uniform Securities Agent State Law Examination	2015-06-04