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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2026-07-13 |
| PR | RA | APPROVED | 2026-07-06 |
| NE | RA | APPROVED | 2026-05-28 |
| ND | RA | APPROVED | 2026-05-26 |
| VI | RA | APPROVED | 2026-05-26 |
| MT | RA | APPROVED | 2026-05-22 |
| AK | RA | APPROVED | 2026-05-21 |
| KS | RA | APPROVED | 2026-05-21 |
| DE | RA | APPROVED | 2026-05-20 |
| GA | RA | APPROVED | 2026-05-20 |
| IA | RA | APPROVED | 2026-05-20 |
| MD | RA | APPROVED | 2026-05-20 |
| MN | RA | APPROVED | 2026-05-20 |
| NM | RA | APPROVED | 2026-05-20 |
| NC | RA | APPROVED | 2026-05-20 |
| UT | RA | APPROVED | 2026-05-20 |
| AL | RA | APPROVED | 2026-05-19 |
| LA | RA | APPROVED | 2026-05-19 |
| ME | RA | APPROVED | 2026-05-19 |
| TX | RA | APPROVED | 2026-05-19 |
| CA | RA | APPROVED | 2026-05-18 |
Branch Locations
One Embarcadero Ctr Ste 3400, San Francisco, CA 94111 • United States
239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | San Francisco | CA | 04/2026 | Present |
| Hsbc Securities (Usa) Inc | San Francisco | CA | 05/2026 | Present |
| Fidelity Brokerage Services Llc | Palo Alto | CA | 09/2017 | 10/2019 |
| Goldman Sachs | Salt Lake City | UT | 01/2017 | 03/2017 |
| Tesla Inc./Solar City | Milpitas | CA | 07/2016 | 01/2017 |
| Self Employed | Palo Alto | CA | 03/2017 | 09/2017 |
| Thrivent Investment Management Inc | Appleton | WI | 11/2019 | 05/2022 |
| Thrivent Financial | Appleton | WI | 11/2019 | 03/2020 |
| Thrivent Financial | Appleton | WI | 03/2020 | 05/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palo Alto | CA | 05/2022 | 01/2025 |
| Bank Of America, N.A. | Palo Alto | CA | 07/2022 | 01/2025 |
| Wells Fargo Clearing Services, Llc | Palo Alto | CA | 01/2025 | 01/2026 |
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. 1. The name of the other business – RENTAL PROPERTY 2. Whether the business is investment-related: This is an illiquid real property that is an investment in itself but not linked to any other investments. 3. The address of the other business - 20824 Pamela Way, Saratoga, CA 95070 4. The nature of the other business: RENTAL PROPERTY 5. Your position: Owner 6. Title/Relationship with the other business: 100% Ownership 7. The start date of your relationship: 3/2011 8. The approximate number of hours/months you devote to the other business: 1 Hour per month 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: I have no day-to-day involvement. Aside from signing lease agreements, property manager would contact me for approval if cost exceeds a certain dollar amount.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-12 |
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