James Thomas Gomez

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2022-07-14
VI	RA	APPROVED	2022-06-17
PR	RA	APPROVED	2022-04-19
ND	RA	APPROVED	2022-04-11
IA	RA	APPROVED	2022-04-08
DE	RA	APPROVED	2022-04-06
NE	RA	APPROVED	2022-04-06
AK	RA	APPROVED	2022-04-05
GA	RA	APPROVED	2022-04-05
KS	RA	APPROVED	2022-04-05
LA	RA	APPROVED	2022-04-05
ME	RA	APPROVED	2022-04-05
MN	RA	APPROVED	2022-04-05
NM	RA	APPROVED	2022-04-05
TX	RA	APPROVED_RES	2022-04-05
UT	RA	APPROVED	2022-04-05
VA	RA	APPROVED	2022-04-05
AL	RA	APPROVED	2022-04-04
MD	RA	APPROVED	2022-04-04
MT	RA	APPROVED	2022-04-04
NC	RA	APPROVED	2022-04-04
NY	RA	APPROVED	2021-07-13
NJ	RA	APPROVED	2019-01-15

DC RA
APPROVED

Since 2022-07-14
VI RA
APPROVED

Since 2022-06-17
PR RA
APPROVED

Since 2022-04-19
ND RA
APPROVED

Since 2022-04-11
IA RA
APPROVED

Since 2022-04-08
DE RA
APPROVED

Since 2022-04-06
NE RA
APPROVED

Since 2022-04-06
AK RA
APPROVED

Since 2022-04-05
GA RA
APPROVED

Since 2022-04-05
KS RA
APPROVED

Since 2022-04-05
LA RA
APPROVED

Since 2022-04-05
ME RA
APPROVED

Since 2022-04-05
MN RA
APPROVED

Since 2022-04-05
NM RA
APPROVED

Since 2022-04-05
TX RA
APPROVED_RES

Since 2022-04-05
UT RA
APPROVED

Since 2022-04-05
VA RA
APPROVED

Since 2022-04-05
AL RA
APPROVED

Since 2022-04-04
MD RA
APPROVED

Since 2022-04-04
MT RA
APPROVED

Since 2022-04-04
NC RA
APPROVED

Since 2022-04-04
NY RA
APPROVED

Since 2021-07-13
NJ RA
APPROVED

Since 2019-01-15

Branch Locations

Kenmore, NY • 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

Organization	City	State	From	To
Hsbc Securities (Usa) Inc	Depew	NY	07/2017	08/2018
Hsbc Bank Usa, N.A.	Depew	NY	06/2016	08/2018
Hsbc Securities (Usa) Inc.	Depew	NY	08/2018	12/2020
Hsbc Bank Usa, N.A.	Depew	NY	08/2018	12/2020
Hsbc Securities (Usa) Inc.	Depew	NY	12/2020	Present
Hsbc Bank Usa, N.A.	Depew	NY	12/2020	Present

07/2017 → 08/2018

Hsbc Securities (Usa) Inc

Depew, NY
06/2016 → 08/2018

Hsbc Bank Usa, N.A.

Depew, NY
08/2018 → 12/2020

Hsbc Securities (Usa) Inc.

Depew, NY
08/2018 → 12/2020

Hsbc Bank Usa, N.A.

Depew, NY
12/2020 → Present

Hsbc Securities (Usa) Inc.

Depew, NY
12/2020 → Present

Hsbc Bank Usa, N.A.

Depew, NY

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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-11-29
S63	Uniform Securities Agent State Law Examination	2017-11-06

S66 Uniform Combined State Law Examination

2018-11-29
S63 Uniform Securities Agent State Law Examination

2017-11-06

Other Names

James Gomez

View on SEC IAPD