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 |
|---|---|---|---|---|---|
| Haider Ali | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 17, 2026 | Sep 4, 2026 |
| Hector A Guides | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2026 | Jun 19, 2026 |
| Millene Gomez-Neumayr | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | Jun 10, 2026 |
| Erica Lihong Pu | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2026 | May 14, 2026 |
| Gustavo Pecego | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2026 | Apr 23, 2026 |
| Jose Baez | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2026 | Apr 23, 2026 |
| Helio Hashimoto | Banco Do Brasil Securities LLC state registered | Hsbc Securities (USA) Inc. BD affiliated | Other | Apr 6, 2026 | Apr 21, 2026 |
| Patrick Wild | Putnam Investment Management, LLC asset manager | Hsbc Securities (USA) Inc. BD affiliated | Other | Apr 2, 2026 | Apr 17, 2026 |
| Danny Tan | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 17, 2026 | Mar 23, 2026 |
| Fabio Nunes | Strategic Advisers LLC national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2026 | Apr 8, 2026 |
| David Manjarres | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 15, 2026 | Mar 24, 2026 |
| Ching Wa Cova Mak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 19, 2026 | Mar 3, 2026 |
| Erick Pesantez Santana | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 17, 2026 | Feb 24, 2026 |
| Guoli Rothbaum | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 12, 2026 | May 18, 2026 (95 d) |
| Qiang Lu | Transamerica Financial Advisors, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Mar 6, 2026 |
| Kirk Whalen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 23, 2026 | Feb 24, 2026 (32 d) |
| Tulio F Batista | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2026 | Jan 23, 2026 |
| Gordon Sun | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 15, 2025 | Dec 22, 2025 |
| Rui Hu | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2025 | Dec 2, 2025 |
| Jeffrey J Papa | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 17, 2025 | Dec 11, 2025 |
| Christian Stone Thompson | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Dec 16, 2025 (42 d) |
| Nicole M Macdowell | LPL Financial LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2025 | Nov 12, 2025 |
| Zhiyong Yang | Gsme Wealth Management unclassified | Hsbc Securities (USA) Inc. BD affiliated | Other | Oct 27, 2025 | Nov 7, 2025 |
| Erin L O'Shea | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Dec 12, 2025 (53 d) |
| Yifei Hong | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 2, 2025 | Oct 22, 2025 |
| Matthew Agada | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2025 | Oct 21, 2025 |
| Maria Camila Lara | Strategic Advisers LLC national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2025 | Sep 29, 2025 |
| Ivy Fai Chan Wang | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2025 | Sep 11, 2025 |
| Eric Lau | LPL Financial LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2025 | Aug 29, 2025 |
| Ryan Laschinger | Equitable Advisors, LLC national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2025 | Oct 8, 2025 (63 d) |
| Parth Parikh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 5, 2025 | Oct 7, 2025 (63 d) |
| Canji Liang | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2025 | Aug 13, 2025 |
| Tony Peng | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 29, 2025 | Aug 6, 2025 |
| Minyu Yang | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 20, 2025 | Aug 21, 2025 (32 d) |
| Edmund Michael Haspett | Advice And Planning Services BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2025 | Jul 24, 2025 |
| Zachary Lawrence Hale | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 10, 2025 | Aug 6, 2025 |
| Darlington Okerulu | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2025 | Jul 3, 2025 |
| Maria Cristina R.L.G Pinto Figueiroa R. | Larch Capital Partners LLC other | Hsbc Securities (USA) Inc. BD affiliated | Other | Jun 30, 2025 | Jun 9, 2026 (344 d) |
| David Ishii | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 27, 2025 | Jan 26, 2026 (213 d) |
| Sabrina Denise Tellalian | Citigroup Global Markets Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2025 | Apr 17, 2026 (303 d) |
| Nicholas Codola | Orion Portfolio Solutions, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2025 | Oct 21, 2025 (141 d) |
| Camille Ramirez -Dostert | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 23, 2025 | Jun 6, 2025 |
| Jose Noriega | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 18, 2025 | Jan 8, 2026 (235 d) |
| Elijah Chen | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2025 | Sep 18, 2025 (129 d) |
| Christine Prakash | First Citizens Investor Services, Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2025 | Apr 24, 2025 |
| Cheuk Shun Cheung | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 9, 2025 | Apr 14, 2025 |
| Catherine L Zeballos | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 7, 2025 | Apr 21, 2025 |
| Steven Trustey | New Edge Wealth BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2025 | Mar 24, 2025 |
| Lauren Guzman | Fidelity Personal And Workplace Advisors BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2025 | Apr 18, 2025 (56 d) |
| Kevin James Nashburn | LPL Enterprise, LLC no RAUM | Hsbc Securities (USA) Inc. BD affiliated | Other | Feb 14, 2025 | Feb 20, 2025 |
| Silvano Roberto Vizoso | First Horizon Advisors, Inc mixed wealth | Hsbc Securities (USA) Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 10, 2025 | Feb 13, 2025 |
| Nelson Robert Matzen | Avantax Advisory Services BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2025 | Feb 28, 2025 (35 d) |
| Arturo Montemayor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 23, 2025 | Feb 5, 2025 |
| Robert Wirthwein | Northwestern Mutual Investment Services,LLC no RAUM | Hsbc Securities (USA) Inc. BD affiliated | Other | Jan 23, 2025 | Jan 24, 2025 |
| Michael Rader | LPL Financial LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2025 | Mar 26, 2026 (428 d) |
| Kyle Douglas Baker | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 10, 2025 | Jan 17, 2025 |
| Michael Ralph Winter | Ameriprise Financial Services, LLC national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2024 | Jan 7, 2025 |
| Eric Ingber | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 4, 2024 | Dec 10, 2024 |
| Yali Pan Sheneman | Cetera Investment Advisers LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2024 | Dec 19, 2024 |
| Matthew Richert | Key Investment Services LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2024 | Dec 19, 2024 |
Page 1 of 12Next
707 moves match.