HSBC SECURITIES (USA) INC.

Latest filing: Jul 23, 2025 (143 days ago)

View on IAPD

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 IAPD Broker	CHIEF COMPLIANCE OFFICER - BD
PITTSEY, MARK ANDREW IAPD Broker	DIRECTOR, HEAD OF GPB AMERICAS, US WEALTH, SALES AND DISTRIBUTION
HENDERSON, JASON RYAN IAPD Broker	PRESIDENT/CEO/DIRECTOR
BUSCAGLIA, SARA FAYE IAPD Broker	DIRECTOR
BENDER, SETH IAPD Broker	GENERAL COUNSEL
FARRELL, JOHN IAPD Broker	HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER
MEHTA, ORESTA IAPD Broker	DIRECTOR
CHAMBERS, TREVOR C IAPD Broker	CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER
SHAW, IAN G IAPD Broker	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
CAMILO CANTOR	NEW YORK	NY	S63\|2011-11-10\|S66\|2018-09-07
QUAN ZHANG	NEW YORK	NY	S63\|2019-03-02\|S66\|2021-10-11
JEFFREY CONVERSE	NEW YORK	NY	S63\|2009-07-17\|S65\|2015-06-04
YI MIN	NEW YORK	NY	S63\|2021-02-09\|S66\|2023-05-31
GISCARD CHERY	NEW YORK	NY	S63\|2012-08-03\|S66\|2021-08-16
KAREN ACHER-HOWARD	NEW YORK	NY	S63\|1997-10-20\|S65\|2005-05-05
ANNA TOSUNYAN	NEW YORK	NY	S63\|2017-03-28\|S66\|2023-10-23
JONATHAN GERVAIS	NEW YORK	NY	S63\|2013-07-26\|S66\|2022-09-17
CLARK PINGREE	NEW YORK	NY	S63\|2000-07-21\|S66\|2004-07-25
PETER BUSHMAN	NEW YORK	NY	S63\|2012-12-21\|S66\|2023-06-09	CHARTERED FINANCIAL CONSULTANT
MARY SILLITTO	NEW YORK	NY	S63\|2001-03-15\|S65\|2010-11-22
GRACE WIT	NEW YORK	NY	S66\|2011-08-31
MARINA RODGERS	NEW YORK	NY	S66\|2018-12-13
ALBA ESPARRAGOZA	NEW YORK	NY	S63\|2002-09-03\|S65\|2007-02-12
MARK SINGH	NEW YORK	NY	S63\|2007-12-28\|S65\|2015-06-15
MATTHEW COSTANZO	NEW YORK	NY	S63\|2015-03-25\|S66\|2020-03-05
PETTY YAO	NEW YORK	NY	S63\|1998-03-02\|S66\|2001-09-18
CHONG KAM	NEW YORK	NY	S66\|2004-04-19
SYED RIZVI	NEW YORK	NY	S63\|2015-11-23\|S66\|2019-03-13
MICHAEL PALUMBO	NEW YORK	NY	S63\|2019-05-13\|S66\|2021-03-30

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-08-01	$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