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
Arrivals at 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 |
|---|---|---|---|---|---|
| Chor Shing Chan | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 23, 2024 | Dec 5, 2024 |
| Andrew Soliman | Osaic Institutions, Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2024 | Dec 9, 2024 |
| Meiling Elsner | Cetera Investment Advisers LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2024 | Dec 6, 2024 |
| Abanoub Gabra | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2024 | Jan 15, 2025 (85 d) |
| Simon Syer | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2024 | Oct 28, 2024 |
| Aderonke Ayangbesan | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 2, 2024 | Oct 7, 2024 |
| Elieser Carrazana | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 21, 2024 | Aug 23, 2024 |
| Jaquelynne Elliott | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2024 | Oct 29, 2024 (74 d) |
| Christopher Belich | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 2, 2024 | Jul 5, 2024 |
| Elker Meta | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2024 | Apr 18, 2025 (291 d) |
| Andrew Mo | Cetera Investment Advisers LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Aug 14, 2024 (104 d) |
| Dufresne Nicolas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 30, 2024 | May 22, 2024 |
| Clark Cannon Pingree | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 23, 2024 | May 1, 2024 |
| Mei Kwan | Tranquil Asset Management LLC unclassified | Hsbc Securities (USA) Inc. BD affiliated | Other | Apr 22, 2024 | Jun 3, 2025 (407 d) |
| Ana Cristina Schuler Azario | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 17, 2024 | Aug 22, 2025 (492 d) |
| Gregg Eisenstein | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2024 | Jan 23, 2025 (290 d) |
| Denise Hei Kan Lo | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | May 9, 2024 (34 d) |
| Adam S Lawlor | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Jan 2, 2025 (275 d) |
| Yi Min | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 12, 2024 | Mar 27, 2024 |
| Jose David Gonzalez | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 1, 2024 | May 24, 2025 (449 d) |
| Joseph Herrmann | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2024 | Mar 15, 2024 |
| Petty Tingyuk Yao | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2024 | Feb 1, 2024 |
| Andrey Manannikov | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 17, 2024 | Jan 26, 2024 |
| Cong Wang | Avantax Advisory Services BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2024 | Dec 26, 2024 (344 d) |
| Gonzalo Vicente Yubi | Fidelity Personal And Workplace Advisors BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Jan 23, 2024 |
| Keith Leong | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 11, 2025 (548 d) |
| Carly Doshi | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 9, 2024 | May 28, 2024 (140 d) |
| Thomas James Griffin | Key Investment Services LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2023 | Dec 12, 2023 |
| Racquel N Oden | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 20, 2023 | Dec 11, 2023 |
| Michael Melchione | UBS Financial Services Inc. wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 16, 2023 | Oct 24, 2023 |
| Richard A Brennan | UBS Financial Services Inc. wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2023 | Nov 29, 2023 (78 d) |
| Nayali Quezada | Lord, Abbett & Co. LLC asset manager | Hsbc Securities (USA) Inc. BD affiliated | Other | Aug 21, 2023 | Aug 31, 2023 |
| Mohamed Abdelgawad | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2023 | Feb 5, 2025 (545 d) |
| Grace Wit | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2023 | Aug 30, 2023 |
| Kamal Malhotra | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 24, 2023 | Aug 16, 2023 |
| Amy Song | UBS Financial Services Inc. wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 17, 2023 | Jul 20, 2023 |
| Syed Wasi Ahmed | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2023 | Jul 11, 2023 |
| Shuk Ming Leung | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 5, 2023 | May 31, 2023 |
| Danielle Vivado | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2023 | Apr 24, 2023 |
| Jad Hoche | Wizest Inc. no RAUM | Hsbc Securities (USA) Inc. BD affiliated | Other | Apr 3, 2023 | May 26, 2023 (53 d) |
| Sonia Isabel Piguave | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 9, 2023 | Mar 3, 2023 |
| Junia Pan Li | Capital Group Private Client Services, Inc. independent RIA | Hsbc Securities (USA) Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 25, 2023 | Dec 13, 2023 (322 d) |
| Kyle Catanzano | Equitable Advisors, LLC national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2023 | Feb 2, 2023 |
| Daniela Carolina Rettig | UBS Financial Services Inc. wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 21, 2022 | Nov 1, 2023 (345 d) |
| Nicole Teluk Smykowski | Trubee Wealth Advisors, Inc. independent RIA | Hsbc Securities (USA) Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 15, 2022 | Nov 17, 2022 |
| Giscard Jean Chery | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2022 | Oct 17, 2022 (35 d) |
| Zachary Schifferle | Cadaret Grant & Co Inc BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2022 | Sep 9, 2022 |
| Kevin Bachalis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 10, 2022 | Aug 4, 2022 (55 d) |
| Chor Shing Chan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 7, 2022 | Jun 16, 2022 |
| Michael Ralph Winter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2022 | May 4, 2022 |
| Serafino Bruno | LPL Financial LLC independent RIA | Hsbc Securities (USA) Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 12, 2022 | Apr 15, 2022 |
| Karen L Mendivil | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 21, 2022 | Apr 15, 2022 |
| Mark C Chen | Tlg Advisors, Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2022 | Mar 30, 2022 |
| Lisha Geng | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 15, 2022 | May 6, 2022 (80 d) |
| Austin Patrick Reese | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 26, 2022 | Jan 31, 2022 |
| Andrew Mo | Iconiq Capital, LLC other | Hsbc Securities (USA) Inc. BD affiliated | Other | Jan 4, 2022 | Feb 2, 2022 |
| Jonnathan Mora | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 16, 2021 | Jun 14, 2022 (210 d) |
| Meredith Jensen | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 1, 2021 | Nov 10, 2025 (1470 d) |
| Carlos F Singer | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 8, 2021 | Oct 25, 2021 |
| Legna Gonzalez | LPL Financial LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2021 | Nov 22, 2022 (432 d) |
708 moves match.