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 |
|---|---|---|---|---|---|
| Robert Joseph Ryder | Hsbc Securities (USA) Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jul 15, 2020 (40 d) |
| Joseph Michael Faller | Hsbc Securities (USA) Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jan 11, 2021 (220 d) |
| Richard Joseph Burkimsher | Hsbc Securities (USA) Inc. BD affiliated | Spirit Of America Management Corp asset manager | Other | Jun 5, 2020 | May 26, 2021 (355 d) |
| Kevin W Diamond | Hsbc Securities (USA) Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Apr 5, 2021 (304 d) |
| Rock Navamuel | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jul 1, 2020 |
| Michael Simon | Hsbc Securities (USA) Inc. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jul 9, 2020 (34 d) |
| Andrea Perrone | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Sep 8, 2023 (1190 d) |
| Paul K Turadilok | Hsbc Securities (USA) Inc. BD affiliated | Trusttree Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 5, 2020 | Jun 8, 2020 |
| Wilson Fung | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Oct 13, 2020 (130 d) |
| Jeffrey Quinn | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Sep 10, 2020 (97 d) |
| Diane Ruiz | Hsbc Securities (USA) Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Dec 7, 2020 (185 d) |
| Michael Patrick Kushch | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Sep 21, 2020 (108 d) |
| Marcos Guillermo Ubinas | Hsbc Securities (USA) Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Nov 12, 2020 (160 d) |
| Yangmei Chen | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Sep 29, 2020 (116 d) |
| Peter Ream | Hsbc Securities (USA) Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jul 8, 2020 (33 d) |
| Steven Trustey | Hsbc Securities (USA) Inc. BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Jun 5, 2020 | Dec 24, 2020 (202 d) |
| Chao-Wei Liu | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | May 10, 2024 (1435 d) |
| Eric M. Rwiliriza | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Feb 5, 2021 (245 d) |
| Christopher Schwartz | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Sep 2, 2020 (89 d) |
| Jorge Luis Perez | Hsbc Securities (USA) Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Dec 1, 2020 (179 d) |
| Santiago Jose Arbelaez | Hsbc Securities (USA) Inc. BD affiliated | Mellig Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 5, 2020 | Aug 5, 2020 (61 d) |
| Anthony Crimeni | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Nov 12, 2020 (160 d) |
| Ching Man Wong | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Sep 10, 2020 (97 d) |
| Priyanka Kanth Singh | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Aug 25, 2020 (81 d) |
| Dean Martin Starr | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Jun 3, 2020 | Jun 3, 2020 |
| Karena Zhu | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2020 | Jun 23, 2020 |
| Lilian Huang | Hsbc Securities (USA) Inc. BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Jun 2, 2020 | May 22, 2020 |
| Joseph William Davis | Hsbc Securities (USA) Inc. BD affiliated | Laidlaw Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2020 | Jun 30, 2020 (46 d) |
| Di Wu | Hsbc Securities (USA) Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2020 | May 12, 2020 |
| Peter Hatzakos | Hsbc Securities (USA) Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2020 | Apr 21, 2020 |
| Fabio Vozila | Hsbc Securities (USA) Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 24, 2020 | Jul 29, 2020 (96 d) |
| Yan Zhi Huang | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2020 | May 7, 2020 |
| Alexander Russo | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2020 | Apr 14, 2020 |
| Karma Shahin | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2020 | Apr 3, 2020 |
| Brent Allen Penrose | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 31, 2020 | Jul 31, 2020 (122 d) |
| Tingting Chen | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2020 | Mar 26, 2020 |
| Damion Jeremy Hendrickson | Hsbc Securities (USA) Inc. BD affiliated | Agf Investments asset manager | Other | Feb 25, 2020 | May 13, 2021 (443 d) |
| Andrew Alexander Bunnin | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 13, 2020 | Feb 3, 2020 |
| Josin Lin | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2020 | Aug 17, 2021 (551 d) |
| Anna Perasso | Hsbc Securities (USA) Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2020 | Sep 30, 2020 (245 d) |
| Jason Demeo | Hsbc Securities (USA) Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2020 | Feb 12, 2020 |
| Jennifer Won Jin Kang | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 29, 2020 | Feb 28, 2020 |
| Robert Joseph Patrick Sforza | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Jan 29, 2020 | Feb 19, 2020 |
| Michael Anthony Valenza | Hsbc Securities (USA) Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 29, 2020 | Feb 18, 2020 |
| Jonathan Germano | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 29, 2020 | Jan 21, 2020 |
| Wing Chung Yip | Hsbc Securities (USA) Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jun 3, 2021 (504 d) |
| Ernesto Martin Paredes | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Mar 25, 2020 (69 d) |
| Santiago Robledo | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 16, 2020 | May 3, 2021 (473 d) |
| Roger Joel Forman | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 16, 2020 | May 7, 2020 (112 d) |
| Jarett Jay Elion | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 24, 2019 | Feb 10, 2020 (48 d) |
| Ying Juan Xie | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | Aug 25, 2021 (610 d) |
| Sisi Wu | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 24, 2019 | Jan 16, 2020 |
| Dawei Lin | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2019 | Dec 18, 2019 |
| Austin Patrick Reese | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 17, 2019 | Mar 10, 2020 (84 d) |
| Michael Joseph Alba | Hsbc Securities (USA) Inc. BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Jan 13, 2020 (41 d) |
| Matthew L Ward | Hsbc Securities (USA) Inc. BD affiliated | Goldman Sachs Wealth Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2019 | Aug 10, 2021 (628 d) |
| Phillip Nuttall | Hsbc Securities (USA) Inc. BD affiliated | Capital One Investing, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2019 | Jan 8, 2020 (49 d) |
| Peter Levine | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2019 | Jan 24, 2020 (81 d) |
| Melvin Tom | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2019 | Sep 27, 2021 (693 d) |
| Benvenuto Anthony Derosa | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2019 | Jan 15, 2020 (72 d) |
921 moves match.