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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
DC RA APPROVED 2026-01-20
ND RA APPROVED 2025-10-31
GA RA APPROVED 2025-10-23
AL RA APPROVED 2025-10-22
AK RA APPROVED 2025-10-22
DE RA APPROVED 2025-10-22
IA RA APPROVED 2025-10-22
KS RA APPROVED 2025-10-22
LA RA APPROVED 2025-10-22
ME RA APPROVED 2025-10-22
MD RA APPROVED 2025-10-22
MN RA APPROVED 2025-10-22
MT RA APPROVED 2025-10-22
NE RA APPROVED 2025-10-22
NM RA APPROVED 2025-10-22
NC RA APPROVED 2025-10-22
PR RA APPROVED 2025-10-22
TX RA APPROVED 2025-10-22
UT RA APPROVED 2025-10-22
VI RA APPROVED 2025-10-22
CA RA APPROVED 2025-09-29
  • DC RA
    APPROVED
    Since 2026-01-20
  • ND RA
    APPROVED
    Since 2025-10-31
  • GA RA
    APPROVED
    Since 2025-10-23
  • AL RA
    APPROVED
    Since 2025-10-22
  • AK RA
    APPROVED
    Since 2025-10-22
  • DE RA
    APPROVED
    Since 2025-10-22
  • IA RA
    APPROVED
    Since 2025-10-22
  • KS RA
    APPROVED
    Since 2025-10-22
  • LA RA
    APPROVED
    Since 2025-10-22
  • ME RA
    APPROVED
    Since 2025-10-22
  • MD RA
    APPROVED
    Since 2025-10-22
  • MN RA
    APPROVED
    Since 2025-10-22
  • MT RA
    APPROVED
    Since 2025-10-22
  • NE RA
    APPROVED
    Since 2025-10-22
  • NM RA
    APPROVED
    Since 2025-10-22
  • NC RA
    APPROVED
    Since 2025-10-22
  • PR RA
    APPROVED
    Since 2025-10-22
  • TX RA
    APPROVED
    Since 2025-10-22
  • UT RA
    APPROVED
    Since 2025-10-22
  • VI RA
    APPROVED
    Since 2025-10-22
  • CA RA
    APPROVED
    Since 2025-09-29

Branch Locations

One Embarcadero Center Suite 3400, San Francisco, CA 94111 • United States

San Francisco, CA • 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
OrganizationCityStateFromTo
Florida International University Miami FL 07/2014 12/2019
Marriott Vacation Worldwide Doral FL 12/2017 07/2021
Amazon Miami FL 09/2020 11/2020
Progressive Insurance Miramar FL 07/2021 11/2022
Whole Foods Market Sunnyvale CA 11/2022 12/2022
Fidelity Investments Mountain View CA 01/2023 10/2024
Fidelity Investments Boston MA 03/2025 08/2025
Hsbc Bank Usa, N.A. San Francisco CA 09/2025 Present
Hsbc Securities (Usa) Inc San Francisco CA 09/2025 Present
Fidelity Investments Mountain View CA 10/2024 08/2025
  • 07/2014 → 12/2019
    Florida International University
    Miami, FL
  • 12/2017 → 07/2021
    Marriott Vacation Worldwide
    Doral, FL
  • 09/2020 → 11/2020
    Amazon
    Miami, FL
  • 07/2021 → 11/2022
    Progressive Insurance
    Miramar, FL
  • 11/2022 → 12/2022
    Whole Foods Market
    Sunnyvale, CA
  • 01/2023 → 10/2024
    Fidelity Investments
    Mountain View, CA
  • 03/2025 → 08/2025
    Fidelity Investments
    Boston, MA
  • 09/2025 → Present
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 09/2025 → Present
    San Francisco, CA
  • 10/2024 → 08/2025
    Fidelity Investments
    Mountain View, CA
Previous Registrations
  • 2025-03-31 → 2025-09-01
    Mountain View, CA
    Sunnyvale, CA
    San Francisco, CA
    Boston, MA
  • 2024-05-03 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Mountain View, CA
Other Businesses

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 2024-03-01
S63 Uniform Securities Agent State Law Examination 2023-07-07
  • S66 Uniform Combined State Law Examination
    2024-03-01
  • S63 Uniform Securities Agent State Law Examination
    2023-07-07

View on SEC IAPD

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