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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-07-03
  • CA RA
    APPROVED
    Since 2023-07-03

Branch Locations

239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • United States

One Embarcadero Center 34Th Floor, San Francisco, CA 94111 • United States

39410 Fremont Boulevard, Fremont, CA 94538 • United States

Alameda, CA • 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
Hsbc Bank Usa, N.A. San Francisco CA 12/2015 04/2018
Hsbc Bank Usa, N.A. San Francisco CA 04/2018 Present
Hsbc Securities (Usa) Inc. San Francisco CA 04/2018 Present
  • 12/2015 → 04/2018
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 04/2018 → Present
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 04/2018 → Present
    San Francisco, CA
Other Businesses

I have a rental property at 395 Imperial way, #347 Daly City CA 94015 since 2011 and 2280 Rollingwood Dr, San Bruno CA 94066. It is not securities trading business. 1. The name of the other business : Hong Kong associate of Northern California 2. Whether the business is investment-related : NO 3. The address of the other business P.O Box 297 San Francisco CA 94104 4. The nature of the other business: Non Profit organization, business chamber 5. Your position : Chairwoman 6. Title : Chairwoman 7. Relationship with the other business: Chairwoman during 2021 & 2022 8. The start date of your relationship Jan 01 2021 9. The approximate number of hours/month you devote to the other business: 30 hours . 25 hours per months for 24 months. 10. The number of hours you devote to the other business during securities trading hours: N/A 11. Briefly describe your duties relating to the other business: My role duties include chairing meetings of the Board of directors, setting meeting agenda and providing leaderships to the board of directors and acting as a direct liaison between the board and program manager. And, I dont not devot the other business during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-03
S63 Uniform Securities Agent State Law Examination 2006-12-23
  • S66 Uniform Combined State Law Examination
    2023-07-03
  • S63 Uniform Securities Agent State Law Examination
    2006-12-23
Other Names
  • Kory King Chi Lam
  • Kory King Chi Rizzo
  • King Chi Lam

View on SEC IAPD

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