GP
Gonzalo E. Pizarro
HSBC SECURITIES (USA)
Washington Dc, DC 20001
Some features on this profile are disabled
CRD#: 5828492
GP
Professional summary
Gonzalo E Pizarro is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Washington Dc, District Of Columbia.
Gonzalo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Gonzalo has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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; MD Fusion Soccer 2.whether the business is investment-related; No 3.the address of the other business; 10921 Deborah Dr, Rockville, MD 20854 4.the nature of the other business; MD Fusion is an educational-athletic organization that provides well-organized soccer recreation. 5.your position; Soccer coach for a youth team 6.title, or relationship with the other business; Soccer coach 7.the start date of your relationship; Aug 28 2024 8.the approximate number of hours/month you devote to the other business; 20 hours a month 9.the number of hours you devote to the other business during securities trading hours; 0 hours 10.and briefly describe your duties relating to the other business; MD Fusion is an educational-athletic organization that provides well-organized soccer recreation. I will serve as a soccer coach for a youth team, dedicating 3 hours on weekdays after business hours and 2 hours on weekends.
CRS (Client Relationship Summary) - RIA
Click below to view Gonzalo E Pizarro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gonzalo E Pizarro'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
May 23, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 802 7th Street Nw, Washington Dc, DC 20001RIA
BD
CRD#: 19585
Washington Dc, DC
Current
May 13, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 802 7th Street Nw, Washington Dc, DC 20001RIA
BD
CRD#: 19585
Washington Dc, DC
Past
December 20, 2012 - May 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BETHESDA, MD
Past
November 6, 2012 - May 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BETHESDA, MD
Past
January 25, 2011 - July 18, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FALLS CHURCH, VA
Past
October 27, 2010 - July 18, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FALLS CHURCH, VA
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
Delaware(2/3/2025)
RR
District of Columbia(5/13/2016)
IAR
District of Columbia(5/23/2016)
RR
Maryland(8/29/2023)
IAR
Maryland(8/29/2023)
RR
Massachusetts(7/15/2024)
RR
Minnesota(5/15/2025)
RR
Missouri(9/8/2025)
RR
North Carolina(4/28/2025)
IAR
North Carolina(4/30/2025)
RR
Pennsylvania(7/30/2024)
RR
Puerto Rico(5/26/2025)
RR
Rhode Island(4/3/2025)
IAR
South Carolina(3/1/2024)
RR
South Carolina(3/15/2024)
RR
Texas(4/15/2025)
IAR
Texas(4/15/2025)
RR
Virginia(8/29/2023)
IAR
Virginia(8/30/2023)
RR
West Virginia(10/17/2025)
Exams
State Security Law 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.
