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.
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Junia Pan Li | Hsbc Securities (USA) Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jul 26, 2024 | Oct 9, 2024 (75 d) |
| Valerie Benmoussa | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2024 | May 8, 2024 |
| Jad Hoche | Hsbc Securities (USA) Inc. BD affiliated | World Equity Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2024 | Aug 29, 2025 (486 d) |
| Jeffrey H Ma | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 29, 2024 | Mar 20, 2024 |
| Ziqi Wong | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 18, 2024 | May 8, 2024 (51 d) |
| Silvio I. Kauffmann | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 12, 2024 | Feb 13, 2024 |
| Kyle Catanzano | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 9, 2024 | Mar 5, 2024 |
| Ridhima Chadha | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 8, 2023 | Jan 4, 2024 |
| Michael Ralph Winter | Hsbc Securities (USA) Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2023 | Nov 13, 2023 |
| Xiaodi Wang | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 15, 2023 | Jan 9, 2025 (421 d) |
| Chor Shing Chan | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 26, 2023 | Nov 1, 2023 |
| Francisco Antonio Galan | Hsbc Securities (USA) Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2023 | Sep 21, 2023 |
| Serafino Bruno | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Aug 30, 2023 |
| Jessica Gonzalez Crisci | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Sep 22, 2023 (35 d) |
| Tony Peng | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2023 | Jul 27, 2023 |
| Victoria Eugenia Cordoba Marin | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2023 | Jul 10, 2023 |
| Sheik Collins | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2023 | Nov 18, 2024 (483 d) |
| Jeff Kraebel | Hsbc Securities (USA) Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Oct 5, 2024 (446 d) |
| Ana Regina Mota | Hsbc Securities (USA) Inc. BD affiliated | Banco Do Brasil Securities LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 13, 2023 | May 23, 2024 (315 d) |
| Peter Mcmahon | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Jun 21, 2023 |
| Laura Virginia Saborio | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2023 | Jun 12, 2023 |
| Andrew Soliman | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Jun 21, 2023 |
| Andrew Mo | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Jul 17, 2023 |
| Maria Laura Caputto | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2023 | Jun 12, 2023 |
| Giovanna Pagano-Decker | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 19, 2023 | May 26, 2023 |
| Lisha Geng | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 18, 2023 | May 8, 2023 |
| Fernando Alberto Herrera | Hsbc Securities (USA) Inc. BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2023 | Jan 25, 2024 (286 d) |
| Alexander Thomas Christopher | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 14, 2023 | Apr 17, 2023 |
| Roberto Teofilo | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 10, 2023 | Jan 30, 2023 |
| Anil Daryani | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2023 | Jan 11, 2023 |
| Zhengnan Xu | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2022 | Dec 22, 2022 |
| Ron R. Daniel | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2022 | Oct 6, 2022 |
| Lawrence R Bahneman | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2022 | Dec 2, 2022 (42 d) |
| Bianka Peneva | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2022 | Nov 10, 2022 |
| Denise Wang | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2022 | Oct 12, 2022 |
| Ling Mao | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2022 | Sep 19, 2022 |
| Michael Thomas Cerminaro | Hsbc Securities (USA) Inc. BD affiliated | Nottingham Wealth Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2022 | Aug 19, 2025 (1069 d) |
| Chung Yueh Lin | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 22, 2022 |
| Joseph Bennett | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2022 | Dec 8, 2022 (115 d) |
| Catherine M. Cafaro | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 3, 2022 | Aug 24, 2022 |
| Calvin Wu | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2022 | Aug 15, 2022 |
| Jia Ni | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2022 | Aug 15, 2022 |
| Michael Hawk Tong | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 15, 2022 | Jul 11, 2022 |
| Ray Au | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 15, 2022 | Jul 11, 2022 |
| Ron Palmer | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2022 | Jul 26, 2022 |
| Christine Guo | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2022 | Sep 22, 2022 (70 d) |
| Manuel Gomez | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2022 | Aug 1, 2022 |
| Thomas James Griffin | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2022 | Aug 18, 2022 (41 d) |
| Benjamin Blake Moloney | Hsbc Securities (USA) Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2022 | May 23, 2022 |
| Jeff Liao | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2022 | Dec 13, 2022 (208 d) |
| Edmund Michael Haspett | Hsbc Securities (USA) Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2022 | Jun 16, 2022 (36 d) |
| Abanoub Gabra | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2022 | May 23, 2022 |
| Cristian Fernando Sierra | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 10, 2022 | Sep 21, 2022 (134 d) |
| Julie Makrigianis | Hsbc Securities (USA) Inc. BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2022 | Sep 7, 2022 (134 d) |
| Jingfeng Liao | Hsbc Securities (USA) Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 26, 2022 | May 10, 2022 |
| Meiling Elsner | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2022 | Apr 28, 2022 |
| Austin Patrick Reese | Hsbc Securities (USA) Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2022 | Apr 26, 2022 |
| Moses Tk Lin | Hsbc Securities (USA) Inc. BD affiliated | Flagstar Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2022 | Mar 18, 2022 |
| Farris David Mandilawi | Hsbc Securities (USA) Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2022 | Apr 14, 2022 |
| Eric Michael Duskin | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 25, 2022 | Apr 4, 2022 |
921 moves match.