HSBC SECURITIES (USA) INC.

Latest filing: May 27, 2025 (67 days ago)
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Adviser Website

AUM

$3,232,551,904
7% change vs. 1 year ago
-16% change vs. 3 years ago
-18% change vs. 5 years ago
8% change vs. 10 years ago

Employee Count

473
-7% change vs. 1 year ago
-46% change vs. 3 years ago
-53% change vs. 5 years ago
-77% change vs. 10 years ago

Main Office

NEW YORK, NY
66 HUSDSON BOULEVARD EAST, NEW YORK, NY, UNITED STATES, 10001

Client AUM

Discretion AUM
Discretionary $0.5
Non-Discretionary $2.7
Total $3.2
Client AUM
Retail $3.1
Pooled $0.1
Institutional $0.0
Total $3.2
Retail Accounts AUM
Individual 10,533 $1.9
Average Individual AUM $184,319
HNW 1,592 $1.2
Average HNW AUM $737,969
Retail Total 12,125 $3.1
Average Retail AUM $257,013

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
PERSHING LLC JERSEY CITY-NJ-USA $0.2

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $3.1
Retail SMA AUM $3.1
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 25% $0.8
Equity Non-Exch 0% $0.0
Govt Agency 20% $0.6
Municipal 49% $1.5
Sovereign 0% $0.0
IG Credit 2% $0.1
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 3% $0.1
Other 0% $0.0
Total 99% $3.1

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
HSBC GLOBAL ASSET MANAGEMENT (USA) INC. $130.5 105686
HSBC BANK USA, N.A. $0.0 trust company -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

14 active

Name Title
SAHADI, NICHOLAS MITCHELL CHIEF COMPLIANCE OFFICER - BD
PITTSEY, MARK ANDREW DIRECTOR, HEAD OF GPB AMERICAS, US WEALTH, SALES AND DISTRIBUTION
HENDERSON, JASON RYAN PRESIDENT/CEO/DIRECTOR
BUSCAGLIA, SARA FAYE DIRECTOR
BENDER, SETH GENERAL COUNSEL
FARRELL, JOHN HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER
MEHTA, ORESTA DIRECTOR
CHAMBERS, TREVOR C CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER
SHAW, IAN G MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA

ADVDB.CO • SOURCE: SEC

Representatives

314 active representatives found, showing 20 random

Name City State Exams Designations
GRACE WIT NEW YORK NY S66|2011-08-31
LUKE JAUHOLA NEW YORK NY S66|2002-10-01
MEI WANG NEW YORK NY S66|2005-10-31
YEONG-KENG CHIEN NEW YORK NY S63|1998-10-20|S65|2011-12-16|S66|2008-05-23 CERTIFIED FINANCIAL PLANNER
MICHAEL PRIVITERA NEW YORK NY S63|1999-05-01|S66|2010-11-18
RUSSELL SCHERRER NEW YORK NY S63|2006-09-06|S66|2022-04-02
LI KELLY NEW YORK NY S66|2023-12-06
RITA SINGH NEW YORK NY S63|2004-03-19|S66|2023-09-12
MARY SILLITTO NEW YORK NY S63|2001-03-15|S65|2010-11-22
ANDRE BARACAT NEW YORK NY S66|2016-03-31
CAROLINA COSTA CANDIA NEW YORK NY S66|2021-07-10
STEPHANIE O'DELL NEW YORK NY S63|2007-10-25|S66|2023-11-01
ANGELA ABATE NEW YORK NY S63|2007-04-16|S65|2006-04-24
MEREDITH JENSEN NEW YORK NY S63|2009-11-20|S66|2018-07-17
TANUJA PULAKHANDAM NEW YORK NY S66|2015-03-09 CHARTERED FINANCIAL ANALYST
GEORGE MOSCOSO NEW YORK NY S66|2019-03-26
MATTHEW PARENT NEW YORK NY S66|2021-11-09
CHERYL VALLON NEW YORK NY S63|2004-07-26|S65|2006-06-30|S66|2023-02-03
MARK PITTSEY NEW YORK NY S63|1992-04-14|S65|1998-03-16
KEITH SMITH NEW YORK NY S63|2007-10-23|S66|2021-05-11

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-06-02 $3.2 $0.0 0% 473 0 0%
2025-04-21 $3.2 $0.0 0% 473 0 0%
2024-04-02 $3.0 $0.2 7% 507 -34 -7%
2023-04-04 $2.8 $0.4 15% 510 -37 -7%
2022-04-01 $3.9 -$0.6 -16% 883 -410 -46%
2021-04-05 $3.7 -$0.4 -12% 741 -268 -36%
2020-04-01 $3.9 -$0.7 -18% 1,017 -544 -53%
2019-04-01 $3.4 -$0.1 -4% 1,017 -544 -53%
2018-04-02 $3.7 -$0.4 -12% 943 -470 -50%
2017-04-01 $3.0 $0.3 9% 1,289 -816 -63%
2016-04-01 $3.0 $0.2 8% 1,904 -1,431 -75%
2015-04-01 $3.0 $0.2 8% 2,020 -1,547 -77%
2014-04-01 $3.1 $0.1 3% 1,763 -1,290 -73%
2013-04-01 $3.5 -$0.3 -8% 1,598 -1,125 -70%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-07/07/2006, AL-06/30/2006, AR-07/05/2006, AZ-06/30/2006, CA-08/30/2005, CO-06/30/2006, CT-06/30/2006, DC-08/30/2005, DE-08/30/2005, FL-09/01/2005, GA-06/30/2006, HI-06/30/2006, IA-07/03/2006, ID-06/30/2006, IL-07/05/2006, IN-06/30/2006, KS-06/30/2006, KY-06/30/2006, LA-06/30/2006, MA-06/30/2006, MD-06/30/2006, ME-06/30/2006, MI-06/30/2006, MN-07/17/2006, MO-06/30/2006, MS-06/30/2006, MT-06/30/2006, NC-06/30/2006, ND-06/30/2006, NE-06/30/2006, NH-06/30/2006, NJ-08/31/2005, NM-06/30/2006, NV-06/30/2006, NY-08/30/2005, OH-06/30/2006, OK-06/30/2006, OR-06/30/2006, PA-08/30/2005, PR-06/30/2006, RI-06/30/2006, SC-06/30/2006, SD-07/03/2006, TN-07/03/2006, TX-06/30/2006, UT-06/30/2006, VA-06/30/2006, VI-12/07/2010, VT-06/30/2006, WA-06/30/2006, WI-06/30/2006, WV-06/30/2006, WY-06/24/2020
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
OTHER ACTIVITIES
BROKER DEALER
FUTURES MERCHANT
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV