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 |
|---|---|---|---|---|---|
| Paul John Scarpelli | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2022 | Feb 15, 2022 |
| Eng Y Lian | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2022 | May 11, 2022 (78 d) |
| Shanny Feliona So | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 22, 2022 | Mar 10, 2022 |
| Jonathon Mark Gunn | Hsbc Securities (USA) Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2022 | Mar 23, 2022 |
| Kamal Malhotra | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2022 | Feb 22, 2022 |
| Ashmi L Dave | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2022 | Feb 22, 2022 |
| Michael Pinho | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Mar 7, 2022 |
| Yi-Ling Chen | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Feb 7, 2022 |
| Seth Berkowitz | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Mar 7, 2022 |
| Fang-Yu Lin | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Feb 25, 2022 |
| David Wayne Hawkins | Hsbc Securities (USA) Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Jul 12, 2023 (509 d) |
| Syed Taz Uddin Ahmed | Hsbc Securities (USA) Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Mar 7, 2022 |
| Michelline May R Padilla | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 9, 2022 | Jan 4, 2023 (329 d) |
| Annamarie Pera | Hsbc Securities (USA) Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2022 | Feb 4, 2022 |
| Cinthya J Lock | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 21, 2022 | Feb 18, 2022 |
| Lilly Tung | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Feb 2, 2022 |
| Ting Y Wang | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Jan 26, 2022 |
| Zakia Benzoubeier | Hsbc Securities (USA) Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Jan 20, 2022 |
| Shelly S Wong | Hsbc Securities (USA) Inc. BD affiliated | Deutsche Bank Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Feb 3, 2022 |
| Jonathan Christopher Wang | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 20, 2021 | Mar 10, 2022 (80 d) |
| Rong Lu | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 20, 2021 | Jun 1, 2023 (528 d) |
| Thomas Richard Heptig | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2021 | Dec 8, 2021 |
| Tara Hung Peng | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Dec 13, 2021 |
| Anna Maria Pujolas | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Dec 2, 2021 |
| Mario Somarriba | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Dec 8, 2021 |
| Clive Vernon Dixon | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 18, 2021 |
| Xiaodong Miao | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 23, 2021 |
| Scott Evan Howell | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2021 | Nov 8, 2021 |
| Jenny Melany Quimbayo | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 5, 2021 | Jul 25, 2023 (627 d) |
| Prakash Madhu Shetty | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Dec 22, 2021 (50 d) |
| Gavin Y Lam | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2021 | Dec 16, 2022 (409 d) |
| Vikram Singh | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2021 | Oct 19, 2021 |
| Debbie Chen | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 12, 2021 | Sep 24, 2021 |
| Raffaele Prospero | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Sep 27, 2021 |
| Lucette Calas | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Dec 23, 2021 (83 d) |
| Ping Lin | Hsbc Securities (USA) Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Nov 16, 2021 (46 d) |
| Alex Caratelli | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Nov 19, 2021 (49 d) |
| Lydia Lam | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2021 | Sep 14, 2021 |
| Kirk David Maraglia | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2021 | Aug 25, 2021 |
| Nicole M Macdowell | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2021 | Sep 23, 2021 |
| Noah Bradley Littin | Hsbc Securities (USA) Inc. BD affiliated | Blackrock Investment Management, LLC other | Other | Aug 16, 2021 | Oct 13, 2021 (58 d) |
| Jerry Celentano | Hsbc Securities (USA) Inc. BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2021 | Aug 25, 2021 |
| Magda Carolina Castro | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2021 | Aug 18, 2021 |
| Michelle S Yeh | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2021 | Jul 22, 2021 |
| Calvin Ying Zhao | Hsbc Securities (USA) Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Sep 22, 2021 (58 d) |
| Andrew M Smith | Hsbc Securities (USA) Inc. BD affiliated | Flagstar Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2021 | Jan 7, 2025 (1261 d) |
| Francisco Vergara Hermosilla | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Jul 13, 2021 |
| Juan Manuel Sonzini | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2021 | Jul 20, 2021 |
| Roberto Ramiro Pena | Hsbc Securities (USA) Inc. BD affiliated | Insigneo Advisory Services, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2021 | Sep 16, 2021 (71 d) |
| Christopher J. Gironda | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2021 | Aug 17, 2021 (41 d) |
| Frank Richard Petrilli | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2021 | Jun 14, 2021 |
| Ming Y Huang | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 28, 2021 | Jun 14, 2021 |
| Shaun Michael Mcdougall | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 28, 2021 | Oct 28, 2021 (122 d) |
| Nelson Octavio Vallin | Hsbc Securities (USA) Inc. BD affiliated | Insigneo Advisory Services, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2021 | Jun 25, 2021 |
| Shalini Guglani | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 26, 2021 | May 17, 2022 (356 d) |
| Cynthia Granger Temple | Hsbc Securities (USA) Inc. BD affiliated | Cibc Private Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2021 | Nov 14, 2024 (1270 d) |
| Yevgeniy Gryazev | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2021 | May 15, 2021 |
| Pierre Bitar | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2021 | Jun 8, 2021 |
| Brian Allen Dowery | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Apr 30, 2021 | Apr 28, 2021 |
| Yanique Keisha Paula Anderson | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Apr 30, 2021 | Apr 28, 2021 |
921 moves match.