GUOLI ROTHBAUM is an investment adviser representative (IAR) with state registration records since 2020, appearing at 4 firms. Currently registered with HSBC SECURITIES (USA) INC..
| Firm | From | To | Current |
|---|---|---|---|
| HSBC SECURITIES (USA) INC. | 2026-05-18 | present | Yes |
| WELLS FARGO CLEARING SERVICES, LLC | 2025-01-08 | 2026-02-12 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2022-05-23 | 2024-11-12 | — |
| THRIVENT INVESTMENT MANAGEMENT INC. | 2020-01-02 | 2022-05-24 | — |