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Roberto Ernesto Lopez

Hsbc Securities (Usa) Inc.

Miami, FL

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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-09-04
NY RA APPROVED 2025-09-03
  • FL RA
    APPROVED
    Since 2025-09-04
  • NY RA
    APPROVED
    Since 2025-09-03

Branch Locations

1441 Brickell Avenue 16Th Floor, Miami, FL 33131 • 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
Wells Fargo Clearing Services, Llc Aventura FL 11/2023 11/2024
Wells Fargo Bank, Na Aventura FL 03/2018 11/2024
On Road Wheel Alignment Medley FL 02/2016 02/2018
Pizza Hut Miami Gardens FL 08/2015 03/2017
Barbara Goleman Senior High School Miami Lakes FL 08/2013 03/2017
Hsbc Bank Usa, N.A. Miami FL 11/2024 Present
Hsbc Securities (Usa) Inc. Miami FL 11/2024 Present
  • 11/2023 → 11/2024
    Wells Fargo Clearing Services, Llc
    Aventura, FL
  • 03/2018 → 11/2024
    Wells Fargo Bank, Na
    Aventura, FL
  • 02/2016 → 02/2018
    On Road Wheel Alignment
    Medley, FL
  • 08/2015 → 03/2017
    Pizza Hut
    Miami Gardens, FL
  • 08/2013 → 03/2017
    Barbara Goleman Senior High School
    Miami Lakes, FL
  • 11/2024 → Present
    Hsbc Bank Usa, N.A.
    Miami, FL
  • 11/2024 → Present
    Miami, FL
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 2025-09-03
S63 Uniform Securities Agent State Law Examination 2024-02-27
  • S66 Uniform Combined State Law Examination
    2025-09-03
  • S63 Uniform Securities Agent State Law Examination
    2024-02-27

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