Guoli Rothbaum

HSBC SECURITIES (USA)

SAN FRANCISCO, CA 94111

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CRD#: 6746550

Professional summary

Guoli Rothbaum, who also goes by Gloria Guoli Rothbaum, Gloria Rothbaum, Guoli G Rothbaum, Guoli Gloria Rothbaum, Gloria G Su, Gloria Su, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in San Francisco, California.

Guoli is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Guoli has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guoli Rothbaum's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Guoli Rothbaum's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 18, 2026 - Present

HSBC SECURITIES (USA) INC.

Office #1: One Embarcadero Ctr Ste 3400, San Francisco, CA 94111

RIA

CRD#: 19585

SAN FRANCISCO, CA

Current

May 18, 2026 - Present

HSBC SECURITIES (USA) INC.

Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210

RIA

CRD#: 19585

Buffalo, NY

Past

January 8, 2025 - February 12, 2026

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PALO ALTO, CA

Past

January 8, 2025 - February 12, 2026

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PALO ALTO, CA

Past

May 23, 2022 - November 12, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALO ALTO, CA

Past

May 23, 2022 - November 12, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALO ALTO, CA

Past

January 2, 2020 - May 24, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Palo Alto, CA

Past

November 15, 2019 - May 24, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Palo Alto, CA

Past

March 15, 2018 - October 30, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PALO ALTO, CA

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".

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)

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.

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

Alabama
(5/18/2026)

IAR

Alabama
(5/19/2026)

Alaska
(5/18/2026)

IAR

Alaska
(5/21/2026)

Arizona
(5/18/2026)

Arkansas
(5/18/2026)

California
(5/18/2026)

IAR

California
(5/18/2026)

Colorado
(5/18/2026)

Connecticut
(5/18/2026)

Delaware
(5/18/2026)

IAR

Delaware
(5/20/2026)

District of Columbia
(5/18/2026)

Florida
(5/18/2026)

Georgia
(5/18/2026)

IAR

Georgia
(5/20/2026)

Hawaii
(5/18/2026)

Idaho
(5/18/2026)

Illinois
(5/18/2026)

Indiana
(5/18/2026)

Iowa
(5/18/2026)

IAR

Iowa
(5/20/2026)

Kansas
(5/18/2026)

IAR

Kansas
(5/21/2026)

Kentucky
(5/18/2026)

Louisiana
(5/18/2026)

IAR

Louisiana
(5/19/2026)

Maine
(5/18/2026)

IAR

Maine
(5/19/2026)

Maryland
(5/18/2026)

IAR

Maryland
(5/20/2026)

Massachusetts
(5/18/2026)

Michigan
(5/18/2026)

Minnesota
(5/18/2026)

IAR

Minnesota
(5/20/2026)

Mississippi
(5/18/2026)

Missouri
(5/18/2026)

Montana
(5/18/2026)

IAR

Montana
(5/22/2026)

Nebraska
(5/18/2026)

Nevada
(5/18/2026)

New Hampshire
(5/18/2026)

New Jersey
(5/18/2026)

New Mexico
(5/18/2026)

IAR

New Mexico
(5/20/2026)

New York
(5/18/2026)

North Carolina
(5/18/2026)

IAR

North Carolina
(5/20/2026)

North Dakota
(5/18/2026)

IAR

North Dakota
(5/26/2026)

Ohio
(5/18/2026)

Oklahoma
(5/18/2026)

Oregon
(5/18/2026)

Pennsylvania
(5/18/2026)

Puerto Rico
(5/18/2026)

Rhode Island
(5/18/2026)

South Carolina
(5/18/2026)

South Dakota
(5/18/2026)

Tennessee
(5/18/2026)

Texas
(5/18/2026)

IAR

Texas
(5/19/2026)

Utah
(5/18/2026)

IAR

Utah
(5/20/2026)

Vermont
(5/18/2026)

Virgin Islands
(5/18/2026)

IAR

Virgin Islands
(5/26/2026)

Virginia
(5/18/2026)

Washington
(5/18/2026)

West Virginia
(5/18/2026)

Wisconsin
(5/18/2026)

Wyoming
(5/18/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/12/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/2018

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

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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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC SECURITIES (USA) INC. (1/21/2026)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (1/21/2026)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (1/16/2026)

HSBC PRISM ADVISORY (10/16/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Guoli Rothbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guoli Rothbaum's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Guoli Rothbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2019

Series 63

Date: 7/12/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/15/2018

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Nasdaq Texas, LLC

New York Stock Exchange

Current Firm

HSBC SECURITIES (USA) INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

TRUST BUT VERIFY

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