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 |
|---|---|---|---|---|---|
| Juan A Rodriguez | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | May 4, 2021 |
| Johnny Tzu-Hua Liu | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2021 | Apr 8, 2021 |
| Daniel Mintae Kim | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2021 | May 7, 2021 |
| Litao Mai | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2021 | Apr 16, 2021 |
| Federico E Gatti | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 22, 2021 | Mar 24, 2021 |
| Erik Dececco | Hsbc Securities (USA) Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2021 | Apr 6, 2021 |
| Mark J Sommerville | Hsbc Securities (USA) Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2021 | Apr 2, 2021 |
| Matthew P Morea | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 11, 2021 | Feb 16, 2021 |
| Arturo Padilla | Hsbc Securities (USA) Inc. BD affiliated | Leucadia Asset Management LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2021 | May 10, 2021 (60 d) |
| Nathan Asante Addo | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 11, 2021 | Mar 25, 2021 |
| Zhenxing Lao | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2021 | Mar 1, 2021 |
| Stephen J Macken | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2021 | Feb 16, 2021 |
| Chaoyi Liu | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 12, 2021 | Feb 25, 2021 |
| Eric S Wolf | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Jan 25, 2021 | Feb 3, 2021 |
| Stephen Carl Farinacci | Hsbc Securities (USA) Inc. BD affiliated | Flagstar Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2021 | Jan 7, 2025 (1443 d) |
| Lawrence E Sienkiewicz | Hsbc Securities (USA) Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 12, 2021 |
| Brett Alan Rand | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 19, 2021 |
| Dejan Vujinovic | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 25, 2021 | Jan 12, 2021 |
| Junia Pan Li | Hsbc Securities (USA) Inc. BD affiliated | Capital Bank And Trust Company mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2021 | Feb 1, 2021 |
| Richard John Miktus | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 25, 2021 | Jan 7, 2021 |
| Carolyn Lucy Smith-Logiudice | Hsbc Securities (USA) Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 11, 2021 |
| Mark T Childs | Hsbc Securities (USA) Inc. BD affiliated | Svb Investment Services Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2021 | May 18, 2021 (124 d) |
| Joanne K. Lam | Hsbc Securities (USA) Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2021 | Jan 6, 2021 |
| Robert Wirthwein | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2021 | Jan 22, 2021 |
| Bradley John Eich | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2021 | Mar 24, 2021 (69 d) |
| Ferris S J Ahn | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2020 | Dec 7, 2020 |
| Susan S Bishara | Hsbc Securities (USA) Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Dec 4, 2020 | Dec 18, 2020 |
| Serafino Bruno | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2020 | Nov 19, 2020 |
| Ronald Huang | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2020 | Nov 23, 2020 |
| Jesus Ismael Navedo | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2020 | Nov 30, 2020 |
| Scott Arthur Gerde | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2020 | Nov 2, 2020 |
| Edward Richard Riepe | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2020 | Oct 2, 2020 |
| Anthony Ghiglieri | Hsbc Securities (USA) Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 2, 2020 | Oct 26, 2020 |
| Peter James Klarides | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Nov 4, 2020 |
| Joseph J Praino | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Aug 3, 2021 (288 d) |
| Brian David Schwartz | Hsbc Securities (USA) Inc. BD affiliated | Flagstar Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2020 | Jan 7, 2025 (1541 d) |
| Adam Mulia | Hsbc Securities (USA) Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 5, 2020 |
| Jerry Nicholas Giordano | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 7, 2020 |
| Qingyin You | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 19, 2020 | Oct 9, 2020 |
| James Kaing | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 19, 2020 | Sep 28, 2020 |
| Jonathan Crocker | Hsbc Securities (USA) Inc. BD affiliated | Agf Investments asset manager | Other | Oct 19, 2020 | Aug 3, 2021 (288 d) |
| Joseph S Culotta | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2020 | Sep 3, 2020 |
| Zakir Banatwala | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2020 | Sep 29, 2020 |
| Alfred J Natale | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2020 | Jan 28, 2021 (168 d) |
| Jason M Nieves | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2020 | Aug 17, 2021 (369 d) |
| Herbert Daniel Pease | Hsbc Securities (USA) Inc. BD affiliated | Cavu Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 13, 2020 | Aug 11, 2020 |
| Nicholas John Davy | Hsbc Securities (USA) Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Apr 21, 2021 (271 d) |
| Jonathan Andrew Cohen | Hsbc Securities (USA) Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Apr 21, 2021 (271 d) |
| Elizabeth Caba Perez | Hsbc Securities (USA) Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Aug 15, 2022 (752 d) |
| Alif B Brahim | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Jul 28, 2020 |
| Benjamin Michael Newman | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Aug 17, 2021 (389 d) |
| Joseph Frank Persichetti | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2020 | Jul 15, 2020 |
| Robert Frank Notarfrancesco | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2020 | Jul 9, 2020 |
| Anson Sung | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 25, 2020 | Apr 23, 2021 (302 d) |
| Xi Wang | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 25, 2020 | Jun 19, 2020 |
| Jose Carlos Da Silva | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2020 | Jan 21, 2021 (210 d) |
| Joseph Longobardi | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2020 | Jun 5, 2020 |
| Michael G Mcternan | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2020 | Jun 5, 2020 |
| Thomas Marco Avitabile | Hsbc Securities (USA) Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jul 20, 2020 (45 d) |
| John William Murphy | Hsbc Securities (USA) Inc. BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2020 | Sep 17, 2020 (104 d) |
921 moves match.