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
SAMIRAN SWAPANKUMAR KUNDU
SAMIRAN SWADANKUMAR KUNDU
CRD#: 5841252
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 196 Bellevue Way NE
One88 Bellevue Building
BELLEVUE, WA 98004
Registration History
20122014201620182020202220242026IAHSBC SECURITIES (USA) INC. (CRD# 19585)2022 - Present (2 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2011 - Present (13 years)
License(s)

State Registrations

B
Alaska 3/6/2023
B
Nevada 9/27/2024
IA
Alaska 3/6/2023
B
New Jersey 10/30/2023
B
Arizona 3/6/2023
B
New York 3/6/2023
IA
Arizona 3/21/2023
IA
New York 3/6/2023
B
California 12/1/2011
B
North Carolina 3/13/2023
IA
California 3/6/2023
IA
North Carolina 3/27/2023
B
Colorado 6/27/2023
B
Oregon 3/6/2023
B
Connecticut 3/6/2023
IA
Oregon 3/6/2023
IA
Connecticut 3/6/2023
B
Pennsylvania 3/6/2023
B
Florida 11/21/2024
IA
Pennsylvania 3/6/2023
B
Georgia 3/6/2023
B
Texas 3/6/2023
B
Hawaii 3/6/2023
IA
Texas 4/19/2023
IA
Hawaii 3/6/2023
B
Utah 12/1/2023
B
Idaho 3/6/2023
B
Virginia 12/10/2024
B
Illinois 7/3/2023
B
Washington 1/8/2013
B
Massachusetts 5/11/2023
IA
Washington 10/12/2022
B
Minnesota 10/9/2024
B
West Virginia 11/21/2024
IA
Minnesota 10/9/2024
B
Wyoming 2/24/2025

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)
196 Bellevue Way NE One88 Bellevue Building, BELLEVUE, WA 98004
Registered with this firm since 10/12/2022
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
196 Bellevue Way NE One88 Bellevue Building, BELLEVUE, WA 98004
Registered with this firm since 6/14/2011
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.