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.

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

Jan 16, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jan 16, 2009

First registration

Sep 28, 2016

Dual registered

yes, broker-dealer

Other names

CATHERINE VALDEZ LOPEZ|CATHERINE LOPEZ ZEBALLOS|Catherine L Zeballos|Catherine Zeballos

IAPD individual key

5561093

• Occurred

  Apr 7, 2025
  Advisor changed firm

  Catherine L Zeballos left J.P. Morgan Securities Llc for Hsbc Securities (Usa) Inc. (registered 2025-04-21)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d35c13db-dfbe-6d7a-6164-74308f0f8fb2

First observed

Sep 28, 2016

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.