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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

MICHAEL RADER

Advisor at HSBC SECURITIES (USA) INC.

BEVERLY HILLS, CA

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Search this name across graphsid dfx:ria:96dd68bb-1ee7-46b2-ee3c-c28f71318492

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 14, 2012 to Sep 14, 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: Nov 20, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 10
Exams: S66|S63
First exam: Nov 20, 1989
First registration: Nov 14, 2012
Dual registered: yes, broker-dealer
Other names: Michael John Rader|Mike Rader
IAPD individual key: 1946865

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	Mar 26, 2026	n/a	yes	BEVERLY HILLS, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	Jan 22, 2025	no	RANCHO CUCAMONGA, CA\|COVINA, CA\|CHINO, CA\|WEST COVINA, CA\|IRVINE, CA\|FULLERTON, CA\|TUSTIN, CA\|SANTA ANA, CA\|SANTA ANA, CA\|YORBA LINDA, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 25, 2022	Jul 19, 2023	no	TUSTIN, CA\|IRVINE, CA\|FULLERTON, CA\|SANTA ANA, CA\|SANTA ANA, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 21, 2020	Oct 18, 2022	no	IRVINE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 8, 2016	Dec 16, 2020	no	IRVINE, CA\|IRVINE, CA\|YORBA LINDA, CA\|ANAHEIM, CA\|PLACENTIA, CA\|ORANGE, CA\|IRVINE, CA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Nov 25, 2013	Feb 5, 2016	no	BEVERLY HILLS, CA	Previous registration
CAPITAL SYNERGY PARTNERS	Former SEC adviser	Nov 14, 2012	Nov 13, 2013	no	IRVINE, CA\|YORBA LINDA, CA	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
LPL FINANCIAL LLC	HSBC SECURITIES (USA) INC.	Jan 22, 2025	Mar 26, 2026	428	Firm change after gap	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
PRUCO SECURITIES, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Oct 18, 2022	Oct 25, 2022	7	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	PRUCO SECURITIES, LLC	Dec 16, 2020	Dec 21, 2020	5	Firm change	Wirehouse to ibd
HSBC SECURITIES (USA) INC.	WELLS FARGO ADVISORS	Feb 5, 2016	Feb 8, 2016	3	Firm change	Other
CAPITAL SYNERGY PARTNERS	HSBC SECURITIES (USA) INC.	Nov 13, 2013	Nov 25, 2013	12	Firm change	Other

Relationships

Registered with (6)

→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Nov 25, 2013 to Feb 5, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Jan 22, 2025factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Oct 25, 2022 to Jul 19, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 21, 2020 to Oct 18, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 8, 2016 to Dec 16, 2020factForm ADV
→ CAPITAL SYNERGY PARTNERSRegistered adviserregistration: previous registration
Nov 14, 2012 to Nov 13, 2013factForm ADV

Dated events

Occurred
Jan 22, 2025
Advisor changed firm
Michael Rader left Lpl Financial Llc for Hsbc Securities (Usa) Inc. (registered 2026-03-26)
Form ADVobserved 6 days ago
Occurred
Oct 18, 2022
Advisor changed firm
Michael Rader left Pruco Securities, Llc for Bancwest Investment Services, Inc. (Bwis) (registered 2022-10-25)
Form ADVobserved 6 days ago