CG
Charles Garlock
HSBC SECURITIES (USA)
Buffalo, NY 14210
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CRD#: 6233241
CG
Professional summary
Charles Garlock is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Buffalo, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Charles has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 10 and Series 9 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Garlock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Garlock'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
June 22, 2017 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210RIA
BD
CRD#: 19585
Buffalo, NY
Current
March 3, 2017 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210RIA
BD
CRD#: 19585
Buffalo, NY
Past
September 21, 2016 - September 30, 2016
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
September 21, 2016 - September 30, 2016
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
August 3, 2015 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ORCHARD PARK, NY
Past
May 27, 2015 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ORCHARD PARK, NY
Past
October 24, 2013 - October 29, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, 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
Alabama(3/8/2017)
IAR
Alabama(6/22/2017)
RR
Alaska(3/8/2017)
IAR
Alaska(6/22/2017)
RR
Arizona(3/8/2017)
IAR
Arizona(7/20/2017)
RR
Arkansas(3/8/2017)
IAR
Arkansas(6/22/2017)
RR
California(3/8/2017)
IAR
California(6/22/2017)
RR
Colorado(3/8/2017)
IAR
Colorado(6/22/2017)
RR
Connecticut(3/8/2017)
IAR
Connecticut(6/22/2017)
RR
Delaware(3/8/2017)
IAR
Delaware(6/22/2017)
RR
District of Columbia(3/8/2017)
IAR
District of Columbia(7/19/2017)
RR
Florida(3/8/2017)
IAR
Florida(6/26/2017)
RR
Georgia(3/8/2017)
IAR
Georgia(7/13/2017)
RR
Hawaii(3/8/2017)
IAR
Hawaii(6/22/2017)
RR
Idaho(3/8/2017)
IAR
Idaho(6/22/2017)
RR
Illinois(3/8/2017)
IAR
Illinois(6/22/2017)
RR
Indiana(3/8/2017)
IAR
Indiana(6/22/2017)
RR
Iowa(3/8/2017)
IAR
Iowa(6/22/2017)
RR
Kansas(3/8/2017)
IAR
Kansas(6/22/2017)
RR
Kentucky(3/8/2017)
IAR
Kentucky(6/22/2017)
RR
Louisiana(3/8/2017)
IAR
Louisiana(6/22/2017)
RR
Maine(3/8/2017)
IAR
Maine(6/22/2017)
RR
Maryland(3/8/2017)
IAR
Maryland(6/22/2017)
RR
Massachusetts(3/8/2017)
IAR
Massachusetts(2/20/2018)
RR
Michigan(3/8/2017)
IAR
Michigan(6/22/2017)
RR
Minnesota(3/8/2017)
IAR
Minnesota(6/22/2017)
RR
Mississippi(3/8/2017)
IAR
Mississippi(6/22/2017)
RR
Missouri(3/8/2017)
IAR
Missouri(6/22/2017)
RR
Montana(3/8/2017)
IAR
Montana(6/23/2017)
RR
Nebraska(3/8/2017)
IAR
Nebraska(6/22/2017)
RR
Nevada(3/8/2017)
IAR
Nevada(6/27/2017)
RR
New Hampshire(3/8/2017)
IAR
New Hampshire(6/22/2017)
RR
New Jersey(3/8/2017)
IAR
New Jersey(6/23/2017)
RR
New Mexico(3/8/2017)
IAR
New Mexico(6/23/2017)
RR
New York(3/3/2017)
RR
North Carolina(3/9/2017)
IAR
North Carolina(6/22/2017)
RR
North Dakota(3/8/2017)
IAR
North Dakota(6/24/2017)
RR
Ohio(3/9/2017)
IAR
Ohio(6/23/2017)
RR
Oklahoma(3/8/2017)
IAR
Oklahoma(6/22/2017)
RR
Oregon(3/8/2017)
IAR
Oregon(6/22/2017)
RR
Pennsylvania(3/8/2017)
IAR
Pennsylvania(6/22/2017)
RR
Puerto Rico(3/8/2017)
IAR
Puerto Rico(6/22/2017)
RR
Rhode Island(3/8/2017)
IAR
Rhode Island(6/22/2017)
RR
South Carolina(3/8/2017)
IAR
South Carolina(6/22/2017)
RR
South Dakota(3/8/2017)
IAR
South Dakota(6/23/2017)
RR
Tennessee(3/8/2017)
RR
Texas(3/8/2017)
IAR
Texas(6/22/2017)
RR
Utah(3/8/2017)
IAR
Utah(6/23/2017)
RR
Vermont(3/8/2017)
IAR
Vermont(6/28/2017)
RR
Virgin Islands(3/8/2017)
IAR
Virgin Islands(6/26/2017)
RR
Virginia(3/8/2017)
IAR
Virginia(6/22/2017)
RR
Washington(3/8/2017)
IAR
Washington(6/22/2017)
RR
West Virginia(3/8/2017)
IAR
West Virginia(6/28/2017)
RR
Wisconsin(3/8/2017)
IAR
Wisconsin(6/22/2017)
RR
Wyoming(3/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/30/2020
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | |
| 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Buffalo, NY 14210TRUST BUT VERIFY
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