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

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Sep 11, 2025

First registration

Sep 16, 2025

Dual registered

yes, broker-dealer

Other names

Kirk J Whalen|Kirk Joseph Whalen

IAPD individual key

7266694

• Occurred

  Jan 23, 2026
  Advisor changed firm

  Kirk Whalen left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Hsbc Securities (Usa) Inc. (registered 2026-02-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:25b28ec2-788c-9732-ae7b-d6316ac58d95

First observed

Sep 16, 2025

Last observed

Sep 14, 2026 7 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.