DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Michael Ralph Winter

Hsbc Securities (USA) Inc.BD affiliatedSnyder, Ny dual registrantIAPD 2671654

Feed of 09/15/2026

Also filed as Michael Ralph Barrett

At current firm

1 y

since Jan 7, 2025

In the industry

30 y

since Dec 12, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Hsbc Securities (USA) Inc. BD affiliated current
since Jan 7, 2025 · Snyder, Ny
Ameriprise Financial Services, LLC national BD
Jan 4, 2024 to Dec 24, 2024 · Cheektowaga, Ny
Valic Financial Advisors, Inc. BD affiliated
Nov 13, 2023 to Dec 20, 2023 · Williamsville, Ny
Hsbc Securities (USA) Inc. BD affiliated
May 4, 2022 to Nov 21, 2023 · Buffalo, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 15, 2022 to Apr 21, 2022 · Williamsville, Ny
Global Retirement Partners LLC institutional
May 25, 2021 to Dec 15, 2021 · Buffalo, Ny
Hsbc Securities (USA) Inc. BD affiliated
Dec 16, 2015 to Oct 30, 2019 · Buffalo, Ny

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Hsbc Securities (USA) Inc.
left Dec 24, 2024, registered Jan 7, 2025 (14 days) · Affiliated broker-dealer or bank to another
Valic Financial Advisors, Inc. to Ameriprise Financial Services, LLC
left Dec 20, 2023, registered Jan 4, 2024 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
Hsbc Securities (USA) Inc. to Valic Financial Advisors, Inc.
left Nov 21, 2023, registered Nov 13, 2023 (-8 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Hsbc Securities (USA) Inc.
left Apr 21, 2022, registered May 4, 2022 (13 days) · Wirehouse to affiliated broker-dealer or bank
Global Retirement Partners LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Dec 15, 2021, registered Feb 15, 2022 (62 days) · Other
Hsbc Securities (USA) Inc. to Global Retirement Partners LLC
left Oct 30, 2019, registered May 25, 2021 (573 days) · Other

Signals

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

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address