DFX Intelligence

RIA Intelligence

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.

AdvisorFromToTypeLeftRegistered
Lilian HuangWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherJul 13, 2017Aug 29, 2017 (47 d)
Jonathan GermanoPnc Wealth Management otherHsbc Securities (USA) Inc. otherOtherJul 6, 2017Aug 3, 2017
Michael Anthony ValenzaMorgan Stanley wirehouseHsbc Securities (USA) Inc. otherOtherJul 3, 2017Aug 7, 2017 (35 d)
Caitlin DeroseM&T Securities, Inc. unclassifiedHsbc Securities (USA) Inc. otherOtherJun 28, 2017Oct 4, 2017 (98 d)
Matthew Robert CarrierMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherMay 30, 2017Jul 10, 2017 (41 d)
Paulo Eduardo BettegaMorgan Stanley wirehouseHsbc Securities (USA) Inc. otherOtherMay 10, 2017May 18, 2017
Peter ReamPnc Wealth Management otherHsbc Securities (USA) Inc. otherOtherApr 28, 2017May 23, 2017
Alfred J NataleCetera Investment Advisers LLC otherHsbc Securities (USA) Inc. otherOtherApr 24, 2017Oct 3, 2017 (162 d)
Brent Allen PenroseWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherApr 18, 2017May 10, 2017
Kevin W DiamondCambridge Investment Research Advisors, Inc. otherHsbc Securities (USA) Inc. otherOtherApr 4, 2017May 1, 2017
Lilly TungCetera Investment Advisers LLC otherHsbc Securities (USA) Inc. otherOtherFeb 3, 2017Mar 17, 2017 (42 d)
Ronald HuangVicus Capital, Inc. otherHsbc Securities (USA) Inc. otherOtherDec 31, 2016Feb 9, 2017 (40 d)
Anna SimeEquitable Advisors, LLC national BDHsbc Securities (USA) Inc. otherOtherNov 22, 2016Feb 7, 2017 (77 d)
Diogo Sousa HolsteinBrickell Global Advisory, Inc. unclassifiedHsbc Securities (USA) Inc. otherOtherNov 22, 2016Jan 19, 2017 (58 d)
Calvin Ying ZhaoSantander Securities otherHsbc Securities (USA) Inc. otherOtherNov 16, 2016Jun 23, 2017 (219 d)
Nicole Teluk SmykowskiKey Investment Services LLC otherHsbc Securities (USA) Inc. otherOtherNov 4, 2016Jan 13, 2017 (70 d)
Eric MaWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherOct 26, 2016Nov 9, 2016
Marcos Guillermo UbinasJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherOct 14, 2016Oct 28, 2016
Clive Vernon DixonWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherOct 7, 2016Oct 21, 2016
Peter LevineTd Ameritrade Investment Management, LLC otherHsbc Securities (USA) Inc. otherOtherOct 4, 2016Nov 14, 2016 (41 d)
Richard John MiktusTd Ameritrade, Inc. no RAUMHsbc Securities (USA) Inc. otherOtherOct 4, 2016Jan 17, 2017 (105 d)
Charles GarlockKey Investment Services LLC otherHsbc Securities (USA) Inc. otherOtherSep 30, 2016Jun 22, 2017 (265 d)
Ferris S J AhnUsaa Financial Planning Services no RAUMHsbc Securities (USA) Inc. otherOtherSep 22, 2016Sep 13, 2016
Heidi Wai Suen LauJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherAug 31, 2016Sep 2, 2016
Vinita J MehtaLPL Financial LLC otherHsbc Securities (USA) Inc. otherOtherAug 30, 2016Sep 15, 2016
Shaun Michael McdougallJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 25, 2016Apr 8, 2019 (956 d)
Robert Joseph Patrick SforzaTd Ameritrade Investment Management, LLC otherHsbc Securities (USA) Inc. otherOtherAug 25, 2016Sep 2, 2016
Abanoub GabraEquitable Advisors, LLC national BDHsbc Securities (USA) Inc. otherOtherAug 18, 2016Feb 15, 2017 (181 d)
Melvin TomCitigroup Global Markets Inc. otherHsbc Securities (USA) Inc. otherOtherAug 4, 2016Aug 5, 2016
Dustin Gray SuttleUsaa Financial Planning Services no RAUMHsbc Securities (USA) Inc. otherOtherAug 3, 2016Aug 5, 2016
Andrew F BertalliUsaa Financial Planning Services no RAUMHsbc Securities (USA) Inc. otherOtherJul 29, 2016Jan 15, 2017 (170 d)
Benjamin Blake MoloneyMorgan Stanley wirehouseHsbc Securities (USA) Inc. otherOtherJul 29, 2016Feb 21, 2018 (572 d)
Christopher FosterUsaa Financial Planning Services no RAUMHsbc Securities (USA) Inc. otherOtherJul 28, 2016Sep 13, 2016 (47 d)
James LangMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherJul 22, 2016Aug 23, 2016 (32 d)
Alba EsparragozaWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherJul 21, 2016Aug 4, 2016
Alif B BrahimCitigroup Global Markets Inc. otherHsbc Securities (USA) Inc. otherOtherJul 15, 2016Aug 4, 2016
Santiago Jose ArbelaezEquitable Advisors, LLC national BDHsbc Securities (USA) Inc. otherOtherJul 11, 2016Jan 9, 2018 (547 d)
Homero Jose DiazMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherJul 5, 2016Jul 25, 2016
Fabio VozilaSuntrust Investment Services, Inc. otherHsbc Securities (USA) Inc. otherOtherJun 24, 2016Jul 1, 2016
Clifford Dominick BajorJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherJun 23, 2016Jul 1, 2016
Ricardo KongMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherJun 16, 2016Jul 1, 2016
Cinthya J LockCredit Suisse Securities (USA) LLC otherHsbc Securities (USA) Inc. otherOtherJun 14, 2016Dec 4, 2017 (538 d)
Andrew Alexander BunninJ.P. Morgan Private Wealth Advisors LLC otherHsbc Securities (USA) Inc. otherOtherJun 8, 2016Sep 2, 2016 (86 d)
Dejan VujinovicCitigroup Global Markets Inc. otherHsbc Securities (USA) Inc. otherOtherJun 2, 2016Jun 21, 2016
Jeffrey H MaCetera Investment Advisers LLC otherHsbc Securities (USA) Inc. otherOtherMay 31, 2016Jun 24, 2016
Najat RhoniJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherMay 24, 2016Jun 28, 2016 (35 d)
Jeff LiaoPnc Wealth Management otherHsbc Securities (USA) Inc. otherOtherMay 19, 2016Jun 30, 2016 (42 d)
Gonzalo E PizarroWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherMay 17, 2016May 23, 2016
Ashwini BhatnagarCitigroup Global Markets Inc. otherHsbc Securities (USA) Inc. otherOtherMay 6, 2016May 16, 2017 (375 d)
Gavin CheungJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherApr 28, 2016May 9, 2016
Kai ShengMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherApr 26, 2016May 2, 2016
Justin KoroyanJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherApr 20, 2016May 3, 2016
Carlos TsengJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherApr 14, 2016Apr 28, 2016
Justin KwokWells Fargo Advisors wirehouseHsbc Securities (USA) Inc. otherOtherApr 6, 2016Apr 7, 2016
Seth BerkowitzSantander Securities otherHsbc Securities (USA) Inc. otherOtherJan 22, 2016Feb 1, 2016
Robert GaetaMsi Financial Services, Inc. otherHsbc Securities (USA) Inc. BD affiliatedOtherJan 20, 2016Dec 6, 2023 (2877 d)
Michael S KimJ.P. Morgan Securities LLC wirehouseHsbc Securities (USA) Inc. otherOtherJan 5, 2016Feb 1, 2016
Xi ZouCetera Investment Advisers LLC otherHsbc Securities (USA) Inc. otherOtherDec 18, 2015Jan 15, 2016
Sammy C. ChangMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHsbc Securities (USA) Inc. otherOtherDec 7, 2015Dec 16, 2015
David Armand VenturaEsi Financial Advisors otherHsbc Securities (USA) Inc. otherOtherDec 7, 2015May 12, 2016 (157 d)
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708 moves match.