Luis Cordova
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.
Luis Cordova was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2002. Luis had worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2021 - August 9, 2024
HSBC SECURITIES (USA) INC.
March 11, 2021 - August 9, 2024
HSBC SECURITIES (USA) INC.
March 22, 2018 - March 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2017 - March 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2012 - October 13, 2016
SCOTTRADE, INC.
January 12, 2012 - July 12, 2012
HARRISDIRECT LLC
December 8, 2011 - July 12, 2012
E*TRADE SECURITIES LLC
August 3, 2010 - December 9, 2011
SCOTTRADE, INC.
October 27, 2003 - July 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2003 - July 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2002 - August 21, 2003
CITIGROUP GLOBAL MARKETS INC.
May 14, 2002 - October 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2002 - October 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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 | |
| 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.
