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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

MICHAEL RALPH WINTER

Advisor at HSBC SECURITIES (USA) INC.

SNYDER, NY | Buffalo, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Dec 16, 2015 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Dec 12, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 12, 1995
First registration: Dec 16, 2015
Dual registered: yes, broker-dealer
Other names: MICHAEL RALPH BARRETT|MICHAEL RALPH WINTER|Michael Winter|MICHAEL R WINTER
IAPD individual key: 2671654

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jan 7, 2025	n/a	yes	SNYDER, NY\|Buffalo, NY	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 4, 2024	Dec 24, 2024	no	Cheektowaga, NY\|Snyder, NY	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Nov 13, 2023	Dec 20, 2023	no	WILLIAMSVILLE, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	May 4, 2022	Nov 21, 2023	no	Buffalo, NY\|Amherst, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 15, 2022	Apr 21, 2022	no	WILLIAMSVILLE, NY\|NEW YORK, NY	Previous registration
GLOBAL RETIREMENT PARTNERS LLC	Institutional manager	May 25, 2021	Dec 15, 2021	no	Buffalo, NY\|SAN RAFAEL, CA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Dec 16, 2015	Oct 30, 2019	no	Buffalo, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	HSBC SECURITIES (USA) INC.	Dec 24, 2024	Jan 7, 2025	14	Firm change	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 20, 2023	Jan 4, 2024	15	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	VALIC FINANCIAL ADVISORS, INC.	Nov 21, 2023	Nov 13, 2023	-8	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	Apr 21, 2022	May 4, 2022	13	Firm change	Wirehouse to ibd
GLOBAL RETIREMENT PARTNERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 15, 2021	Feb 15, 2022	62	Firm change	Other
HSBC SECURITIES (USA) INC.	GLOBAL RETIREMENT PARTNERS LLC	Oct 30, 2019	May 25, 2021	573	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42803:6363:NY:2023-12-19	Dec 20, 2023	Jan 4, 2024	WILLIAMSVILLE, NY	Firm change

Relationships

Registered with (5)

→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
May 4, 2022 to Nov 21, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 4, 2024 to Dec 24, 2024factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Nov 13, 2023 to Dec 20, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 15, 2022 to Apr 21, 2022factForm ADV
→ GLOBAL RETIREMENT PARTNERS LLCRegistered adviserregistration: previous registration
May 25, 2021 to Dec 15, 2021factForm ADV

Dated events

Occurred
Dec 24, 2024
Advisor changed firm
Michael Ralph Winter left Ameriprise Financial Services, Llc for Hsbc Securities (Usa) Inc. (registered 2025-01-07)
Form ADVobserved 4 days ago
Occurred
Dec 20, 2023
Advisor changed firm
Michael Ralph Winter left Valic Financial Advisors, Inc. for Ameriprise Financial Services, Llc (registered 2024-01-04)
Form ADVobserved 4 days ago
Occurred
Nov 21, 2023
Advisor changed firm
Michael Ralph Winter left Hsbc Securities (Usa) Inc. for Valic Financial Advisors, Inc. (registered 2023-11-13)
Form ADVobserved 4 days ago
Occurred
Apr 21, 2022
Advisor changed firm
Michael Ralph Winter left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Hsbc Securities (Usa) Inc. (registered 2022-05-04)
Form ADVobserved 4 days ago