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
Legna Gonzalez
LEGNA CAROLINA GONZALEZ
CRD#: 4316553
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 1441 Brickell Avenue
16th Floor
Miami, FL 33131
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - 2006 (3 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2021 (2 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2022 - Present (2 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2021 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2009 - 2017 (7 years)BFAIRFIELD HEATHCLIFF CAPITAL LLC (CRD# 117647)2006 - 2008 (2 years)
License(s)

State Registrations

B
Alabama 9/29/2021
B
Montana 9/29/2021
B
Alaska 9/29/2021
B
Nebraska 9/29/2021
B
Arizona 9/29/2021
B
Nevada 9/29/2021
B
Arkansas 9/29/2021
B
New Hampshire 9/29/2021
B
California 9/29/2021
B
New Jersey 9/29/2021
B
Colorado 9/29/2021
B
New Mexico 9/29/2021
B
Connecticut 9/29/2021
B
New York 9/29/2021
B
Delaware 9/29/2021
B
North Carolina 9/29/2021
B
District of Columbia 9/29/2021
B
North Dakota 9/29/2021
B
Florida 9/29/2021
B
Ohio 9/30/2021
IA
Florida 11/22/2022
B
Oklahoma 9/29/2021
B
Georgia 9/29/2021
B
Oregon 9/29/2021
B
Hawaii 9/29/2021
B
Pennsylvania 9/29/2021
B
Idaho 9/29/2021
B
Puerto Rico 9/29/2021
B
Illinois 9/29/2021
B
Rhode Island 9/29/2021
B
Indiana 9/29/2021
B
South Carolina 9/29/2021
B
Iowa 9/29/2021
B
South Dakota 9/29/2021
B
Kansas 9/29/2021
B
Tennessee 9/29/2021
B
Kentucky 9/29/2021
B
Texas 9/29/2021
B
Louisiana 9/29/2021
B
Utah 9/29/2021
B
Maine 9/29/2021
B
Vermont 9/29/2021
B
Maryland 9/29/2021
B
Virgin Islands 9/29/2021
B
Massachusetts 9/29/2021
B
Virginia 9/29/2021
B
Michigan 9/29/2021
B
Washington 9/29/2021
B
Minnesota 9/29/2021
B
West Virginia 9/29/2021
B
Mississippi 9/29/2021
B
Wisconsin 9/29/2021
B
Missouri 9/29/2021
B
Wyoming 9/29/2021

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)
1441 Brickell Avenue 16th Floor, Miami, FL 33131
Registered with this firm since 11/22/2022
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
1441 Brickell Avenue 16th Floor, Miami, FL 33131
Registered with this firm since 9/29/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/03/2018 - 09/16/2021 LPL FINANCIAL LLC (CRD#:6413) PEMBROKE PINES, FL
B
 11/30/2018 - 09/16/2021 LPL FINANCIAL LLC (CRD#:6413) PEMBROKE PINES, FL
IA
 09/29/2017 - 11/30/2018 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) PEMBROKE PINES, FL
B
 06/15/2017 - 11/30/2018 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) PEMBROKE PINES, FL
B
 10/28/2009 - 06/26/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
 02/24/2006 - 10/17/2008 FAIRFIELD HEATHCLIFF CAPITAL LLC (CRD#:117647) MIAMI, FL
IA
 01/17/2003 - 02/13/2006 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) MIAMI, FL
B
 01/17/2003 - 02/13/2006 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
IA
 07/16/2001 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) MIAMI, FL
B
 05/16/2001 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
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.