Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAVID EDWARD KALATA
DAVE EDWARD KALATA
CRD#: 1882185
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 445 NORTH BEDFORD DRIVE
2ND FLOOR
BEVERLY HILLS, CA 90210
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)BCITY NATIONAL SECURITIES, INC. (CRD# 103705)2005 - 2007 (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2003 - 2005 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2001 - 2002 (<1 year)
License(s)

State Registrations

B
Arizona 12/10/2008
B
Illinois 2/12/2020
B
California 8/6/2007
B
Nevada 8/6/2007
IA
California 8/10/2007
B
New Jersey 8/6/2014
B
Colorado 12/10/2008
B
New York 8/6/2007
B
Connecticut 12/10/2008
B
North Carolina 6/14/2010
B
Delaware 2/12/2020
B
Pennsylvania 2/12/2020
B
District of Columbia 2/12/2020
B
Texas 12/10/2008
B
Florida 8/6/2007
B
Washington 12/10/2008
B
Georgia 8/6/2007
B
Wyoming 8/11/2023
B
Hawaii 2/1/2013

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HSBC SECURITIES (USA) INC. (CRD#:19585)
445 NORTH BEDFORD DRIVE 2ND FLOOR, BEVERLY HILLS, CA 90210
Registered with this firm since 8/10/2007
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
445 NORTH BEDFORD DRIVE 2ND FLOOR, BEVERLY HILLS, CA 90210
Registered with this firm since 8/6/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/28/2005 - 01/17/2007 CITY NATIONAL SECURITIES, INC. (CRD#:103705) BEVERLY HILLS, CA
B
 05/23/2003 - 01/07/2005 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN FRANCISCO, CA
B
 06/05/2001 - 05/03/2002 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.