DFX Intelligence

RIA Intelligence

Advisor moves

Departures from Hsbc Securities (USA) Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Robert J ShannonHsbc Securities (USA) Inc. otherPnc Wealth Management otherOtherNov 12, 2013Nov 18, 2013
Kevin Eugene NevilleHsbc Securities (USA) Inc. otherMorgan Stanley wirehouseOtherNov 6, 2013Nov 27, 2013
Joseph James LisantiHsbc Securities (USA) Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 4, 2013Dec 4, 2013
Ali MozaffarHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherNov 4, 2013Mar 18, 2014 (134 d)
Fabrizio SanchezHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherOct 29, 2013Nov 4, 2013
Isaac ZachariaHsbc Securities (USA) Inc. otherJ.P. Morgan Securities LLC wirehouseOtherOct 24, 2013Oct 25, 2013
Jack Isaac Daniel CohenHsbc Securities (USA) Inc. otherMorgan Stanley wirehouseOtherOct 17, 2013Nov 22, 2016 (1132 d)
Luis Ausberto GuerreroHsbc Securities (USA) Inc. otherUBS Financial Services Inc. wirehouseOtherOct 8, 2013Oct 9, 2013
Andrzej KalutaHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. BD affiliatedOtherOct 7, 2013Aug 17, 2021 (2871 d)
Joshua Caldwell CarrickHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherOct 4, 2013Oct 10, 2013
Adalberto Ricardo MauliniHsbc Securities (USA) Inc. otherMorgan Stanley wirehouseOtherSep 23, 2013Sep 4, 2013
Joseph Julian ToranoHsbc Securities (USA) Inc. otherMorgan Stanley wirehouseOtherSep 23, 2013Sep 17, 2013
Yanick Kolbjornsen MidyetteHsbc Securities (USA) Inc. otherSuntrust Investment Services, Inc. otherOtherSep 20, 2013Dec 9, 2013 (80 d)
Melvin TomHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherSep 19, 2013Sep 19, 2013
Edgardo Ahmed CastroHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherSep 19, 2013Oct 29, 2013 (40 d)
Christopher JacobiHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherSep 18, 2013Sep 17, 2013
Haney DimianHsbc Securities (USA) Inc. otherTd Private Client Wealth LLC otherOtherSep 10, 2013Sep 16, 2013
Lester E KuanHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherSep 4, 2013Sep 11, 2013
Ariel Osvaldo KayHsbc Securities (USA) Inc. otherBolton Global Asset Management otherOtherSep 4, 2013Feb 24, 2014 (173 d)
Larry Siu Kwong NgaiHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherAug 28, 2013Aug 20, 2013
Angela Yu AlldredgeHsbc Securities (USA) Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 28, 2013Oct 21, 2013 (54 d)
Dmitry L GurvichHsbc Securities (USA) Inc. otherTd Private Client Wealth LLC otherOtherAug 26, 2013Aug 23, 2013
Joseph Anthony SantosHsbc Securities (USA) Inc. otherTd Private Client Wealth LLC otherOtherAug 22, 2013Aug 25, 2013
Yi-Ling ChenHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherAug 13, 2013Aug 29, 2013
John Joseph WagnerHsbc Securities (USA) Inc. otherJ.P. Morgan Securities LLC wirehouseOtherJul 26, 2013Aug 2, 2013
Jessica Vanessa ValeraHsbc Securities (USA) Inc. otherRaymond James & Associates, Inc. national BDOtherJul 23, 2013Oct 16, 2018 (1911 d)
Luis A AlfonsoHsbc Securities (USA) Inc. otherMorgan Stanley wirehouseOtherJul 18, 2013Jun 26, 2013
Silvano Roberto VizosoHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherJul 10, 2013Jul 10, 2013
Diego De La LamaHsbc Securities (USA) Inc. otherBarclays Capital Inc. otherOtherJul 3, 2013Jul 1, 2013
Jonathan Benjamin AbramsHsbc Securities (USA) Inc. otherAmeriprise Financial Services, LLC national BDOtherJun 26, 2013Jul 2, 2013
Alba EsparragozaHsbc Securities (USA) Inc. otherEfg Private Wealth Management (Americas) Corp. otherOtherJun 26, 2013Dec 17, 2013 (174 d)
Lindy ChanHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherJun 26, 2013Jun 18, 2013
Haorong HuangHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherJun 19, 2013Jul 2, 2013
Thomas Joseph PolitoHsbc Securities (USA) Inc. otherCapital One Financial Advisors LLC unclassifiedOtherJun 17, 2013Jun 18, 2013
Daniel ZhaoHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. BD affiliatedOtherJun 10, 2013Aug 17, 2021 (2990 d)
Pedro L TorresHsbc Securities (USA) Inc. otherCg Advisory Services otherOtherJun 7, 2013Jun 30, 2015 (753 d)
Andrew PerceleanuHsbc Securities (USA) Inc. otherU.S. Bancorp Investments, Inc. otherOtherJun 6, 2013Jun 3, 2013
Skye TaberHsbc Securities (USA) Inc. otherGoldman Sachs Wealth Services, L.P. otherOtherJun 3, 2013May 15, 2013
Kwun (Kevin) Yue WongHsbc Securities (USA) Inc. otherCitizens Securities, Inc. otherOtherMay 28, 2013May 31, 2013
Dominique IsraelHsbc Securities (USA) Inc. otherM&T Securities, Inc. unclassifiedOtherApr 29, 2013May 2, 2013
David ChanHsbc Securities (USA) Inc. otherM&T Securities, Inc. unclassifiedOtherApr 26, 2013May 2, 2013
Christopher Anthony CardaliHsbc Securities (USA) Inc. otherSignet Financial Management, LLC otherOtherApr 25, 2013May 10, 2013
Brian SodolHsbc Securities (USA) Inc. otherM&T Securities, Inc. unclassifiedOtherApr 24, 2013May 8, 2013
Craig S WeinsteinHsbc Securities (USA) Inc. otherAdvice And Planning Services otherOtherApr 16, 2013Jun 7, 2013 (52 d)
Eric Michael FigueroaHsbc Securities (USA) Inc. otherCapital Client Group, Inc. no RAUMOtherApr 15, 2013Mar 31, 2025 (4368 d)
Kevin F MeserveHsbc Securities (USA) Inc. otherCuso Financial Services, L.P. otherOtherApr 15, 2013May 9, 2013
Jeffrey Michael MayHsbc Securities (USA) Inc. otherCharles Schwab & Co., Inc. national BDOtherApr 15, 2013Apr 30, 2013
John S SudresianuHsbc Securities (USA) Inc. otherLPL Financial LLC otherOtherApr 8, 2013Apr 4, 2013
Savas Nick ConstantinouHsbc Securities (USA) Inc. otherEdward Jones national BDOtherMar 26, 2013Jan 13, 2014 (293 d)
Jimmy LeeHsbc Securities (USA) Inc. otherCapital One Financial Advisors LLC unclassifiedOtherMar 26, 2013Apr 15, 2013
Michael Edward SantucciHsbc Securities (USA) Inc. otherFlagstar Securities, Inc. independent RIAOtherMar 25, 2013Jan 7, 2025 (4306 d)
Christopher James SpangoHsbc Securities (USA) Inc. otherJ.P. Morgan Securities LLC wirehouseOtherMar 20, 2013Mar 15, 2013
Joshua WidmanHsbc Securities (USA) Inc. otherCitigroup Global Markets Inc. otherOtherMar 18, 2013Mar 14, 2013
Matthew Robert NugentHsbc Securities (USA) Inc. otherMsi Financial Services, Inc. otherOtherMar 18, 2013Apr 24, 2013 (37 d)
Cathy ArgentieriHsbc Securities (USA) Inc. otherJ.P. Morgan Securities LLC wirehouseOtherMar 11, 2013Mar 11, 2013
Rucong WuHsbc Securities (USA) Inc. otherJ.P. Morgan Securities LLC wirehouseOtherMar 1, 2013Mar 1, 2013
Anahid KyupelyanHsbc Securities (USA) Inc. otherWells Fargo Advisors wirehouseOtherFeb 14, 2013Mar 8, 2013
Mark Lawrence TunkelHsbc Securities (USA) Inc. otherCapital One Financial Advisors LLC unclassifiedOtherFeb 11, 2013Feb 24, 2014 (378 d)
Lori McnamaraHsbc Securities (USA) Inc. otherGoldman Sachs Wealth Services, L.P. otherOtherFeb 5, 2013Feb 15, 2013
Steven Erik TrevorHsbc Securities (USA) Inc. otherThrivent Investment Management Inc. otherOtherFeb 5, 2013Jun 11, 2013 (126 d)
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921 moves match.