AE
Alba Esparragoza
HSBC SECURITIES (USA)
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4526948
AE
Professional summary
Alba Esparragoza, who also goes by Alba P Esparragoza, Alba Patricia Esparragoza, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Miami, Florida.
Alba is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Alba has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alba P Esparragoza | Alba Patricia Esparragoza
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.
Luis Perez Production Inc. Not investment related 2300 SW 16TH ST MIAMI, FL 33145 Event and Entertainment Production Owner, President; fully managed by Vice President/Director/Secretary Start date 10/15/2020 Time devoted is approx. 1/2 hour per month; none during trading hours In charge of reviewing and signing-off of corporate formation changes, if any. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Alba Esparragoza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alba Esparragoza'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
August 4, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
Miami, FL
Current
August 1, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
Miami, FL
Past
June 27, 2014 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
June 26, 2014 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
December 17, 2013 - June 17, 2014
EFG ASSET MANAGEMENT (AMERICAS) CORP.
RIA
CRD#: 158905
MIAMI, FL
Past
July 18, 2013 - June 17, 2014
EFG CAPITAL INTERNATIONAL
BD
CRD#: 40118
MIAMI, FL
Past
February 15, 2007 - June 26, 2013
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
July 6, 2006 - June 26, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
April 20, 2005 - August 23, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 1, 2002 - September 12, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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(11/14/2023)
RR
Alaska(11/14/2023)
RR
Arizona(11/14/2023)
RR
Arkansas(11/14/2023)
RR
California(11/14/2023)
RR
Colorado(11/14/2023)
RR
Connecticut(11/14/2023)
RR
Delaware(11/14/2023)
RR
District of Columbia(11/14/2023)
RR
Florida(8/1/2016)
IAR
Florida(8/4/2016)
RR
Georgia(11/14/2023)
RR
Hawaii(11/14/2023)
RR
Idaho(11/14/2023)
RR
Illinois(11/14/2023)
RR
Indiana(11/14/2023)
RR
Iowa(11/14/2023)
RR
Kansas(11/14/2023)
RR
Kentucky(11/14/2023)
RR
Louisiana(11/14/2023)
RR
Maine(11/14/2023)
RR
Maryland(11/14/2023)
RR
Massachusetts(11/14/2023)
RR
Michigan(11/14/2023)
RR
Minnesota(11/14/2023)
RR
Mississippi(11/14/2023)
RR
Missouri(11/14/2023)
RR
Montana(11/14/2023)
RR
Nebraska(11/14/2023)
RR
Nevada(11/14/2023)
RR
New Hampshire(11/14/2023)
RR
New Jersey(11/14/2023)
RR
New Mexico(11/14/2023)
RR
New York(8/1/2016)
RR
North Carolina(11/14/2023)
RR
North Dakota(11/14/2023)
RR
Ohio(11/14/2023)
RR
Oklahoma(11/14/2023)
RR
Oregon(11/14/2023)
RR
Pennsylvania(11/14/2023)
RR
Puerto Rico(11/14/2023)
RR
Rhode Island(11/14/2023)
RR
South Carolina(11/14/2023)
RR
South Dakota(11/14/2023)
RR
Tennessee(11/14/2023)
RR
Texas(11/14/2023)
RR
Utah(11/14/2023)
RR
Vermont(11/14/2023)
RR
Virgin Islands(11/14/2023)
RR
Virginia(11/14/2023)
RR
Washington(11/14/2023)
RR
West Virginia(11/14/2023)
RR
Wisconsin(11/14/2023)
RR
Wyoming(11/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Miami, FL 33131TRUST BUT VERIFY
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