| Stefanie Stannard | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 7, 2011 | Oct 10, 2013 (734 d) |
| Anahid Kyupelyan | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 4, 2011 | Oct 25, 2011 |
| Ian Stuart Cole | Edi Investment Advisor Corporation unclassified | Hsbc Securities (USA) Inc. other | Other | Sep 22, 2011 | May 16, 2014 (967 d) |
| Kimberly Cebrik | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Sep 9, 2011 | Oct 19, 2011 (40 d) |
| Sung Yu Liu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Aug 17, 2011 | Aug 29, 2011 |
| Kenia Giordani Borges | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Aug 4, 2011 | Mar 4, 2016 (1674 d) |
| Scott Christian Rosser | Comerica Securities other | Hsbc Securities (USA) Inc. other | Other | Jul 15, 2011 | Aug 3, 2011 |
| Alan Anderson Santana | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Jul 13, 2011 | Aug 1, 2011 |
| Gloria Luz Aneiros | RBC Capital Markets, LLC national BD | Hsbc Securities (USA) Inc. other | Other | Jul 5, 2011 | Oct 13, 2011 (100 d) |
| Ni Ni Mar | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Jun 15, 2011 | Jul 5, 2011 |
| Albert A Velez | LPL Financial LLC other | Hsbc Securities (USA) Inc. other | Other | Apr 18, 2011 | Apr 18, 2011 |
| Joshua J. Morgan | Deutsche Bank Securities Inc. other | Hsbc Securities (USA) Inc. other | Other | Apr 4, 2011 | Apr 8, 2011 |
| Anthony Fred Morgillo | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Hsbc Securities (USA) Inc. other | Other | Mar 14, 2011 | Mar 23, 2011 |
| Eric S Wolf | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Mar 11, 2011 | Mar 15, 2011 |
| Aaron Loor | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Feb 24, 2011 | Feb 7, 2013 (714 d) |
| Freeman Leung | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Feb 16, 2011 | Feb 23, 2011 |
| Victoria Eugenia Cordoba Marin | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. other | Other | Feb 11, 2011 | Mar 10, 2011 |
| Martin A Squicciarini | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Feb 9, 2011 | Feb 17, 2011 |
| Sandro Elio Palmerini | Capital One Financial Advisors LLC unclassified | Hsbc Securities (USA) Inc. other | Other | Jan 25, 2011 | Apr 24, 2012 (455 d) |
| Brian Burkhardt | M&T Securities, Inc. unclassified | Hsbc Securities (USA) Inc. other | Other | Jan 24, 2011 | Feb 11, 2011 |
| Jorge Balaguer | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. other | Other | Jan 21, 2011 | Feb 16, 2011 |
| Dmitriy Konnov | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Jan 3, 2011 | Feb 2, 2011 |
| Adam Mulia | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 31, 2010 | Feb 20, 2015 (1512 d) |
| Richard George Kuchen | Wells Fargo Investments, LLC unclassified | Hsbc Securities (USA) Inc. other | Other | Dec 21, 2010 | Jan 5, 2011 |
| Yanique Keisha Paula Anderson | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Dec 15, 2010 | Mar 11, 2013 (817 d) |
| Christian Carrillo | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Dec 15, 2010 | Dec 3, 2010 |
| Gregory Michael Schuler | Equitable Advisors, LLC national BD | Hsbc Securities (USA) Inc. other | Other | Dec 14, 2010 | Dec 20, 2010 |
| Michael Anthony Schimmel | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 14, 2010 | Jan 6, 2011 |
| Lewis Alan Wexler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 14, 2010 | Feb 11, 2011 (59 d) |
| Margaret Mary Koetzner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 6, 2010 | May 16, 2011 (161 d) |
| Samir S Makar | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Nov 9, 2010 | Nov 24, 2010 |
| Scott Wayne Milam | Wells Fargo Investments, LLC unclassified | Hsbc Securities (USA) Inc. other | Other | Nov 9, 2010 | Nov 15, 2010 |
| Diego De La Lama | Stonex International Advisors Inc independent RIA | Hsbc Securities (USA) Inc. other | Other | Oct 29, 2010 | Dec 15, 2010 (47 d) |
| Richard Kevin Frank | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 20, 2010 | Oct 26, 2010 |
| Jason Sean Kass | Advice And Planning Services other | Hsbc Securities (USA) Inc. other | Other | Oct 15, 2010 | Nov 3, 2010 |
| Jonathan Benjamin Abrams | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Sep 13, 2010 | Sep 22, 2010 |
| Annie Rong Wang | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Aug 17, 2010 | Mar 18, 2011 (213 d) |
| Dmitry L Gurvich | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Aug 13, 2010 | Aug 31, 2010 |
| Steve Michael Masciangelo | Equitable Advisors, LLC national BD | Hsbc Securities (USA) Inc. other | Other | Aug 10, 2010 | Aug 23, 2010 |
| Gordon Sun | Suntrust Investment Services, Inc. other | Hsbc Securities (USA) Inc. other | Other | Aug 5, 2010 | Aug 19, 2010 |
| Joshua M Underwood | Pnc Wealth Management other | Hsbc Securities (USA) Inc. other | Other | Jul 30, 2010 | Aug 26, 2010 |
| Kelli-Ann Lanino | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Jul 23, 2010 | Oct 7, 2010 (76 d) |
| Kevin H Fung | Wells Fargo Investments, LLC unclassified | Hsbc Securities (USA) Inc. other | Other | Jul 19, 2010 | Aug 9, 2010 |
| Cindy Shu-Yin Chen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Jul 6, 2010 | Jul 14, 2010 |
| Mark Lawrence Tunkel | LPL Financial LLC other | Hsbc Securities (USA) Inc. other | Other | Jun 3, 2010 | Jul 1, 2010 |
| Ryan Ackerhalt | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | May 24, 2010 | Jul 27, 2010 (64 d) |
| Steven Erik Trevor | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. other | Other | May 17, 2010 | Aug 11, 2010 (86 d) |
| Robert J Shannon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Apr 14, 2010 | Apr 20, 2010 |
| Fermin Alberto Mesina | Wells Fargo Investments, LLC unclassified | Hsbc Securities (USA) Inc. other | Other | Apr 7, 2010 | Apr 15, 2010 |
| Randolph Kendall Feliz | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Apr 5, 2010 | Nov 24, 2010 (233 d) |
| Todd J Baek | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Apr 5, 2010 | Apr 9, 2010 |
| Allen Philip Cantoni | Equitable Advisors, LLC national BD | Hsbc Securities (USA) Inc. other | Other | Mar 24, 2010 | Mar 31, 2010 |
| Christopher Alan Brennen | Citizens Securities, Inc. other | Hsbc Securities (USA) Inc. other | Other | Mar 19, 2010 | Mar 30, 2010 |
| Jericho Alexander Borges | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. other | Other | Mar 16, 2010 | Apr 6, 2010 |
| Luke Jauhola | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Mar 8, 2010 | Mar 19, 2010 |
| Christopher Marshall Woods | Chase Investment Services Corp. other | Hsbc Securities (USA) Inc. other | Other | Mar 8, 2010 | Sep 30, 2010 (206 d) |
| Eric Alexander Wiegand | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 8, 2010 | Mar 17, 2010 |
| Wendy F Feng | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Mar 4, 2010 | Mar 12, 2010 |
| Samuel Kwun Pong Lau | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Feb 19, 2010 | Mar 2, 2010 |
| Skye Taber | Td Wealth Management Services Inc. unclassified | Hsbc Securities (USA) Inc. other | Other | Feb 17, 2010 | Mar 31, 2010 (42 d) |