at


Investment Adviser Firm Summary

HSBC GLOBAL ASSET MANAGEMENT (USA) INC. (CRD# 105686 / SEC# 801-25999)
Alternate Names: HSBC ASSET MANAGEMENT (AMERICAS)INC , HSBC GLOBAL ASSET MANAGEMENT (USA) INC. , HSBC INVESTMENTS (USA) INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/20/1985

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/26/2006
Alaska 06/30/2006
Arizona 06/26/2006
Arkansas 06/28/2006
California 06/26/2006
Colorado 06/26/2006
Connecticut 08/01/2005
Delaware 07/05/2006
District of Columbia 06/26/2006
Florida 06/27/2006
Georgia 06/26/2006
Hawaii 06/26/2006
Idaho 06/26/2006
Illinois 06/27/2006
Indiana 06/26/2006
Iowa 06/26/2006
Kansas 06/26/2006
Kentucky 06/26/2006
Louisiana 07/06/2006
Maine 06/26/2006
Maryland 06/26/2006
Massachusetts 06/26/2006
Michigan 06/26/2006
Minnesota 07/05/2006
Mississippi 06/26/2006
Missouri 06/26/2006
Montana 06/26/2006
Nebraska 04/27/2005
Nevada 06/26/2006
New Hampshire 06/26/2006
New Jersey 07/20/2006
New Mexico 06/26/2006
New York 05/24/2002
North Carolina 06/26/2006
North Dakota 06/26/2006
Ohio 06/26/2006
Oklahoma 06/26/2006
Oregon 06/26/2006
Pennsylvania 06/26/2006
Puerto Rico 05/06/2009
Rhode Island 06/26/2006
South Carolina 06/26/2006
South Dakota 06/29/2006
Tennessee 06/27/2006
Texas 07/01/2011
Utah 06/26/2006
Vermont 06/26/2006
Virgin Islands 03/30/2010
Virginia 06/26/2006
Washington 06/26/2006
West Virginia 06/26/2006
Wisconsin 06/26/2006
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser