RR
Ricardo Ramirez
HSBC SECURITIES (USA)
Beverly Hills, CA 90210
Some features on this profile are disabled
CRD#: 2143959
RR
Professional summary
Ricardo Ramirez, who also goes by Ricardo Ramirez De La Espriella, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Beverly Hills, California.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ricardo has worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricardo Ramirez De La Espriella
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
the name of the other business; My own house being rented. whether the business is investment-related; No the address of the other business; 5965 s.w. 64 Place. Miami, Florida 33143 the nature of the other business; personal house being rented your position; Owner title, or relationship with the other business; Owner the start date of your relationship; 8/15/2023 the approximate number of hours/month you devote to the other business;1 the number of hours you devote to the other business during securities trading hours;0 and briefly describe your duties relating to the other business; collect rent, pay gardening, pool and general maintenance
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Ramirez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Ramirez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 8, 2012 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210RIA
BD
CRD#: 19585
Beverly Hills, CA
Current
October 9, 2012 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210RIA
BD
CRD#: 19585
Beverly Hills, CA
Past
May 9, 2012 - October 31, 2012
RIWM, LLC
RIA
CRD#: 160536
MIAMI, FL
Past
August 4, 2011 - September 6, 2012
REHMANN WEALTH
RIA
CRD#: 123047
MIAMIL, FL
Past
June 2, 2011 - May 9, 2012
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
November 6, 2009 - March 5, 2010
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
MIAMI, FL
Past
June 30, 2009 - March 5, 2010
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
MIAMI, FL
Past
June 16, 2008 - April 6, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
CORAL GABLES, FL
Past
May 28, 2008 - April 6, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
April 13, 2006 - September 26, 2006
ASD FINANCIAL SERVICES CORP
RIA
CRD#: 124901
CORAL GABLES, FL
Past
April 4, 2006 - September 26, 2006
ASD FINANCIAL SERVICES CORP
BD
CRD#: 124901
CORAL GABLES, FL
Past
August 20, 2004 - April 4, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MIAMI, FL
Past
August 17, 2004 - April 4, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 21, 2003 - May 20, 2004
UHLMANN PRICE SECURITIES, LLC
BD
CRD#: 42854
SKOKIE, IL
Past
August 27, 1997 - April 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 29, 1992 - September 16, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 3, 1992 - August 5, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/2/2020)
IAR
Alabama(3/2/2020)
RR
Arizona(3/19/2025)
RR
California(3/11/2013)
IAR
California(10/29/2021)
RR
Colorado(5/3/2021)
RR
Connecticut(2/22/2016)
RR
District of Columbia(3/25/2015)
IAR
District of Columbia(4/3/2020)
IAR
Florida(10/8/2012)
RR
Florida(10/10/2012)
RR
Georgia(3/11/2013)
RR
Illinois(7/18/2013)
RR
Maryland(3/25/2013)
IAR
Maryland(3/26/2013)
RR
Massachusetts(11/6/2015)
RR
Michigan(4/23/2019)
IAR
Michigan(4/23/2019)
RR
Minnesota(11/8/2023)
IAR
Minnesota(11/8/2023)
RR
New Jersey(2/19/2016)
RR
New Mexico(2/9/2018)
RR
New York(10/10/2012)
IAR
New York(7/12/2021)
RR
North Carolina(7/19/2013)
RR
Ohio(9/13/2017)
IAR
Ohio(9/13/2017)
RR
Oregon(3/26/2020)
RR
Pennsylvania(2/27/2015)
RR
South Dakota(7/21/2023)
RR
Texas(1/29/2019)
IAR
Texas(1/29/2019)
RR
Virginia(4/19/2023)
RR
Washington(3/11/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
66 Hudson Boulevard, New York, NY 10001
Mailing Address
227 West Monroe Suite 1810, Chicago, IL 60606
Phone number
(224) 880-8555
Established
Delaware since 12/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
473
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.
