JB
Jose Baez
HSBC SECURITIES (USA)
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2663826
JB
Professional summary
Jose Baez, who also goes by Jose G Baez, Jose Baez, Gonzo Baez, Jose G. Baez, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Miami, Florida.
Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jose has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jose G Baez | Jose Baez | Gonzo Baez | Jose G. Baez
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 advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Jose Baez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jose Baez'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
April 23, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
Miami, FL
Current
April 22, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
Miami, FL
Past
May 12, 2025 - April 14, 2026
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Miami, FL
Past
May 8, 2025 - April 14, 2026
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Miami, FL
Past
April 29, 2024 - September 7, 2024
BENCHMARK FINANCIAL WEALTH ADVISORS LLC
RIA
CRD#: 287966
BOCA RATON, FL
Past
December 7, 2016 - June 16, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Miami, FL
Past
June 4, 2015 - July 19, 2016
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEW YORK, NY
Past
June 3, 2015 - July 19, 2016
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
March 27, 2013 - June 17, 2015
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
March 27, 2013 - June 17, 2015
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 20, 2012 - February 12, 2013
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
March 14, 2012 - February 12, 2013
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
October 15, 2009 - November 22, 2011
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
October 15, 2009 - November 22, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 26, 2007 - April 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
July 26, 2007 - April 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 22, 1996 - August 1, 2007
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 26, 1996 - September 10, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
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(4/22/2026)
RR
Alaska(4/22/2026)
RR
Arizona(4/22/2026)
RR
Arkansas(4/22/2026)
RR
California(4/22/2026)
RR
Colorado(4/22/2026)
RR
Connecticut(4/22/2026)
RR
Delaware(4/22/2026)
RR
District of Columbia(4/22/2026)
RR
Florida(4/22/2026)
IAR
Florida(4/23/2026)
RR
Georgia(4/22/2026)
RR
Hawaii(4/22/2026)
RR
Idaho(4/22/2026)
RR
Illinois(4/22/2026)
RR
Indiana(4/22/2026)
RR
Iowa(4/22/2026)
RR
Kansas(4/22/2026)
RR
Kentucky(4/22/2026)
RR
Louisiana(4/22/2026)
RR
Maine(4/22/2026)
RR
Maryland(4/22/2026)
RR
Massachusetts(4/22/2026)
RR
Michigan(4/22/2026)
RR
Minnesota(4/22/2026)
RR
Mississippi(4/22/2026)
RR
Missouri(4/22/2026)
RR
Montana(4/22/2026)
RR
Nebraska(4/22/2026)
RR
Nevada(4/22/2026)
RR
New Hampshire(4/22/2026)
RR
New Jersey(4/22/2026)
RR
New Mexico(4/22/2026)
RR
New York(4/22/2026)
RR
North Carolina(4/22/2026)
RR
North Dakota(4/22/2026)
RR
Ohio(4/23/2026)
RR
Oklahoma(4/22/2026)
RR
Oregon(4/22/2026)
RR
Pennsylvania(4/22/2026)
RR
Puerto Rico(4/22/2026)
RR
Rhode Island(4/22/2026)
RR
South Carolina(4/22/2026)
RR
South Dakota(4/22/2026)
RR
Tennessee(4/22/2026)
RR
Texas(4/22/2026)
RR
Utah(4/22/2026)
RR
Vermont(4/22/2026)
RR
Virgin Islands(4/22/2026)
RR
Virginia(4/22/2026)
RR
Washington(4/22/2026)
RR
West Virginia(4/22/2026)
RR
Wisconsin(4/22/2026)
RR
Wyoming(4/22/2026)
Exams
State Security Law Exam
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 ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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)
PREMIUM
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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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| 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 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 87 |
| 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.
