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 |
|---|---|---|---|---|---|
| Yves Roussel | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Nov 4, 2019 | Nov 8, 2019 |
| Kin Pan Tung | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 31, 2019 | Nov 12, 2019 |
| Michael Ralph Winter | Hsbc Securities (USA) Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Oct 30, 2019 | May 25, 2021 (573 d) |
| Homero Jose Diaz | Hsbc Securities (USA) Inc. BD affiliated | Advisory Investor Services LLC no RAUM | Other | Oct 22, 2019 | Mar 10, 2020 (140 d) |
| Erik Kenichi Kimoto | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2019 | Oct 16, 2019 |
| Daniela Carolina Rettig | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 16, 2019 | Oct 16, 2019 |
| James Patrick Curtin | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2019 | Sep 20, 2019 |
| Luis M. Jimenez | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2019 | Sep 27, 2019 |
| Brian James Bayer | Hsbc Securities (USA) Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2019 | Sep 4, 2019 |
| Craig Vassell | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 29, 2019 | Sep 20, 2019 |
| Miguel Angel Corvalan | Hsbc Securities (USA) Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2019 | Oct 28, 2019 (75 d) |
| Deepa Gibbons | Hsbc Securities (USA) Inc. BD affiliated | A.G. Morgan Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 14, 2019 | Jan 5, 2021 (510 d) |
| Chad Ian Akselrad | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2019 | Nov 1, 2019 (79 d) |
| Kevin C Birt | Hsbc Securities (USA) Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Feb 24, 2021 (610 d) |
| Eric Ma | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 19, 2019 | Jun 18, 2019 |
| Kevin Thomas Roth | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2019 | Jul 11, 2019 (31 d) |
| Alan Anderson Santana | Hsbc Securities (USA) Inc. BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2019 | Aug 4, 2020 (424 d) |
| Rui Maria Forcada | Hsbc Securities (USA) Inc. BD affiliated | Deutsche Bank Securities Inc. other | Other | Jun 7, 2019 | Jul 24, 2019 (47 d) |
| Antonio C. Barbosa | Hsbc Securities (USA) Inc. BD affiliated | Deutsche Bank Securities Inc. other | Other | Jun 7, 2019 | Jul 29, 2019 (52 d) |
| Ching Yiu Ho | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 30, 2019 | Jun 25, 2019 |
| Brandon Berletti | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 30, 2019 | Nov 16, 2021 (901 d) |
| Robert Ernest Young | Hsbc Securities (USA) Inc. BD affiliated | Supreme Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 9, 2019 | Aug 28, 2019 (111 d) |
| Mario A Hernandez | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2019 | May 13, 2019 |
| Caitlin Derose | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2019 | Dec 17, 2020 (605 d) |
| Alicia Dawn Sorensen | Hsbc Securities (USA) Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Sep 6, 2019 (155 d) |
| Ryan Ackerhalt | Hsbc Securities (USA) Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 14, 2019 | May 15, 2019 (62 d) |
| Nathan William Ibarra | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 7, 2019 | May 7, 2019 (61 d) |
| Christopher James Colvin | Hsbc Securities (USA) Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 1, 2019 | Oct 10, 2019 (223 d) |
| Chi Yu Lu | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2019 | Mar 19, 2019 |
| Andre Mangano | Hsbc Securities (USA) Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2018 | Mar 25, 2019 (95 d) |
| Denise Biederman Rayve | Hsbc Securities (USA) Inc. BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2018 | Feb 14, 2019 (64 d) |
| Jason Wojciechowski | Hsbc Securities (USA) Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2018 | Jan 29, 2019 (56 d) |
| Eric Platt | Hsbc Securities (USA) Inc. BD affiliated | Jefferies Investment Advisers LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 27, 2018 | Jun 29, 2023 (1675 d) |
| Rebecca H Li-Huang | Hsbc Securities (USA) Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2018 | Oct 26, 2018 |
| Jorge Balaguer | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2018 | Nov 19, 2018 |
| Ahji Ko | Hsbc Securities (USA) Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2018 | Mar 31, 2021 (896 d) |
| Nicholas C. Byrnes | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 11, 2018 | Sep 28, 2018 |
| Joshua J. Morgan | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2018 | Sep 13, 2018 |
| George M. Visintin | Hsbc Securities (USA) Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 4, 2018 | Sep 5, 2018 |
| Reynaldo Hellmund | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2018 | Jul 31, 2018 |
| Xi Zou | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 19, 2018 | May 25, 2018 |
| Alexander Leon | Hsbc Securities (USA) Inc. BD affiliated | Flagstar Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 11, 2018 | Jan 7, 2025 (2372 d) |
| Samantha Lee | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2018 | Jul 25, 2018 |
| Arlyn Kalka | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2018 | Jun 28, 2018 |
| Nicole Teluk Smykowski | Hsbc Securities (USA) Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | Jul 3, 2018 | Jul 10, 2018 |
| Jianmin Gu | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 28, 2018 | Aug 16, 2018 (49 d) |
| Trajan X Sung | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2018 | Jun 20, 2018 |
| Sharon Yu | Hsbc Securities (USA) Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2018 | Jun 4, 2018 |
| Helen Callista Yi Shue | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2018 | Jul 2, 2018 |
| Esteban Zorrilla Calvo | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2018 | Sep 14, 2018 (93 d) |
| Justin Koroyan | Hsbc Securities (USA) Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2018 | May 16, 2018 |
| Kevin Joseph Brady | Hsbc Securities (USA) Inc. BD affiliated | Wealthspire Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2018 | Mar 18, 2021 (1016 d) |
| Kevin Patric Donaghue | Hsbc Securities (USA) Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2018 | May 25, 2021 (1106 d) |
| Paulo Eduardo Bettega | Hsbc Securities (USA) Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2018 | Apr 26, 2018 |
| Justin Epstein | Hsbc Securities (USA) Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2018 | May 7, 2018 |
| Glorimar Chiroldes Porras | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2018 | Apr 19, 2018 |
| Christopher L Ortiz | Hsbc Securities (USA) Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 27, 2018 | Apr 24, 2018 |
| Jorge B Garcia | Hsbc Securities (USA) Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2018 | Apr 6, 2018 |
| Pilar Urrego | Hsbc Securities (USA) Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 8, 2018 | Apr 19, 2018 (42 d) |
| Ricardo Kong | Hsbc Securities (USA) Inc. other | RBC Securities, Inc. independent RIA | Other | Feb 23, 2018 | Mar 2, 2018 |
921 moves match.