YG
Yanay L. Garciga
HSBC SECURITIES (USA)
New York, NY 10001
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CRD#: 5092046
YG
Professional summary
Yanay L Garciga, who also goes by Yanay L Rodriguez, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Yanay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Yanay has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yanay L Rodriguez
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.
1. The name of the other business - ALPFA NYC- Association of Latino Professionals for America 2. Whether the business is investment-related: No 3. The address of the other business - 85 Broad St. New York, NY 10004 4. The nature of the other business: Non-Profit 5. Your position: Lead Finance Business Partner within the CFO function of the local chapter. 6. Title/Relationship with the other business: The Lead Finance Business Partner will oversee and guide a team of Finance Business Partners in supporting the strategic financial needs of ALPFA New York. This leadership role ensures financial alignment across the chapter's initiatives, provides strategic insights to senior leadership, and drives best practices in financial planning, reporting, and analysis. 7. The start date of your relationship: 7/1/2025 8. The approximate number of hours/month you devote to the other business: The role requires a 5-8hrs weekly commitment and a one-year commitment 9. The number of hours you devote to the other business during securities trading hours: None - this will be done during my personal time. 10. Briefly describe your duties relating to the other business: See below: Team Leadership and Supervision: ?Supervise, mentor, and develop a team of Finance Business Partners, fostering a culture of collaboration, accountability, and professional growth. ?Ensure consistent financial planning, analysis, and reporting standards across all Finance Business Partners. Strategic Financial Support: ?Serve as a key strategic advisor to the CFO and leadership team on financial planning and organizational decision-making. ?Lead financial business partnering for high-priority initiatives and major organizational projects. Financial Planning and Analysis ?Lead quarterly forecasting and annual budget process ?Work closely with the CFO to enhance forecasting methodologies and long-term financial planning. ?Oversee financial reviews across operational areas, identifying trends, risks, and strategic opportunities. Compliance and Governance ?Ensure compliance with ALPFA's financial policies and support audit and governance requirements. Process Improvement ?Lead initiatives to standardize and optimize financial planning, reporting, and forecasting processes. ?Implement best practices for financial business partnering and performance management. Cross-Functional Collaboration: ?Act as a senior finance liaison with key operational and program leaders, strengthening financial knowledge and stewardship across the organization.
CRS (Client Relationship Summary) - RIA
Click below to view Yanay L Garciga's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yanay L Garciga'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
July 23, 2020 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Current
July 14, 2020 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Past
June 3, 2013 - February 27, 2019
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
May 29, 2013 - February 27, 2019
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
September 12, 2007 - May 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
September 6, 2006 - May 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
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
New Jersey(7/14/2020)
IAR
New Jersey(7/23/2020)
RR
New York(7/14/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
