Evaldo J. Guillama
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Evaldo Jose Guillama, who also goes by Ed Guillama, Edward Guillama, Evaldo Guillama, was a registered financial professional .
Evaldo is a previously registered financial professional and started their career in finance in 1987. Evaldo had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2016 - January 29, 2019
HSBC SECURITIES (USA) INC.
July 25, 2016 - January 29, 2019
HSBC SECURITIES (USA) INC.
April 9, 2012 - December 31, 2015
OSAIC INSTITUTIONS, INC.
April 3, 2012 - December 31, 2015
OSAIC INSTITUTIONS, INC.
July 24, 2008 - April 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2006 - April 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2005 - April 10, 2006
HSBC SECURITIES (USA) INC.
December 8, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
June 3, 2002 - December 8, 2003
UBS INTERNATIONAL INC.
June 3, 2002 - December 8, 2003
UBS INTERNATIONAL INC.
July 18, 1996 - June 1, 2002
UBS FINANCIAL SERVICES INC.
June 19, 1996 - June 3, 2002
UBS FINANCIAL SERVICES INC.
December 13, 1993 - June 3, 1996
CITICORP INVESTMENT SERVICES
July 6, 1990 - December 1, 1993
FIRST UNION BROKERAGE SERVICES, INC.
April 15, 1988 - July 10, 1989
CAL FED INVESTMENTS
September 8, 1987 - April 19, 1988
CAPITAL BROKERAGE CORPORATION
January 7, 1987 - September 28, 1988
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
