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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

GUOLI ROTHBAUM

Advisor at HSBC SECURITIES (USA) INC.

Palo Alto, CA | SAN FRANCISCO, CA | Buffalo, NY

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Search this name across graphsid dfx:ria:90121630-ed04-7e30-0bfb-5336d6546f99

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 2, 2020 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HSBC SECURITIES (USA) INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 21
Exams: S63|S66
First exam: Jul 12, 2018
First registration: Jan 2, 2020
Dual registered: yes, broker-dealer
Other names: Guoli G Rothbaum|Gloria G Su|Gloria Rothbaum|Gloria Guoli Rothbaum|Gloria Su|Guoli Gloria Rothbaum
IAPD individual key: 6746550

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	May 18, 2026	n/a	yes	SAN FRANCISCO, CA\|Buffalo, NY\|Palo Alto, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 8, 2025	Feb 12, 2026	no	PALO ALTO, CA\|PALO ALTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 23, 2022	Nov 12, 2024	no	PALO ALTO, CA	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jan 2, 2020	May 24, 2022	no	Palo Alto, CA\|Scottsdale, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	HSBC SECURITIES (USA) INC.	Feb 12, 2026	May 18, 2026	95	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Nov 12, 2024	Jan 8, 2025	57	Firm change	Wirehouse to wirehouse
THRIVENT INVESTMENT MANAGEMENT INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 24, 2022	May 23, 2022	-1	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ HSBC SECURITIES (USA) INC.Registered adviserregistration: current employment
May 18, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 8, 2025 to Feb 12, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 23, 2022 to Nov 12, 2024factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 2, 2020 to May 24, 2022factForm ADV

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
Guoli Rothbaum left Wells Fargo Advisors for Hsbc Securities (Usa) Inc. (registered 2026-05-18)
Form ADVobserved 6 days ago
Occurred
Nov 12, 2024
Advisor changed firm
Guoli Rothbaum left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2025-01-08)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Guoli Rothbaum left Thrivent Investment Management Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-05-23)
Form ADVobserved 6 days ago