Broker-dealer firm · New York, NY
HSBC Securities (USA) Inc.
SEC-registered investment adviser · CRD 19585 · SEC 801-64563
At a glance
HSBC Securities (USA) Inc. is an SEC-registered investment adviser based in New York, New York, with $3.8 billion in regulatory assets under management as of its Form ADV filed September 25, 2026. Its largest client group by assets is individuals, and it reports 12,045 individual clients. By Form ADV it is a broker-dealer firm, ranked 101st of 391 broker-dealer firms and 2,472nd of 17,210 SEC-registered advisers by assets.
Main office 212-525-2879us.hsbc.comAs filed on Form ADV
- Regulatory AUM
- $3.8B
- Rank among broker-dealer firms
- #101 of 391
- Rank among all SEC RIAs
- #2,472 of 17,210
- Rank in New York
- #622 of 2,591
- Individual clients
- 12,045
- High-net-worth clients
- 1,791
- Accounts
- 12,108
- Discretionary
- 21% of AUM
- Employees
- 490
- Advisory staff
- 402
- Offices
- 59
Owners and executives on its Form ADV
- Oresta I MehtaDirector
- Ian G ShawManaging Director, Head of US WPB Compliance and Chief Compliance Officer of RIA
- Dustin NataleChief Compliance Officer (BD) and Head of MSS Compliance
- Sara Faye BuscagliaDirector
- Anthony PecorellaUS Head of Operations / Principal Operations Officer
- Cary Longstreth GoodwinPresident/ceo/director
- Michael K WirginGeneral Counsel
- Chintan Nayankumar ShahChief Financial Officer / Principal Financial Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
HSBC Securities (USA) Inc. is a hybrid RIA: 365 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed September 2026) names HSBC Securities as the broker-dealer its advisers are registered with.
Certain employees of AMUS and HBUS are registered representatives of HSBC Securities and may hold FINRA and state securities registration.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 10,254 | $2.1B | 56% |
| High-net-worth individuals | 1,791 | $1.6B | 40% |
| Pooled investment vehicles | 28 | $88M | 2% |
| Corporations or other businesses | 27 | $46M | 1% |
| Pension and profit sharing plans | 8 | $5M | <1% |
Private funds
HSBC Securities (USA) Inc. reports 8 private funds with $88M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
HSBC Securities (USA) Inc. answers yes to 111 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗us.hsbc.com ↗
AtlasMembers
The full record on HSBC Securities (USA) Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 94 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does HSBC Securities (USA) Inc. manage?
HSBC Securities (USA) Inc. reports $3.8 billion in regulatory assets under management across 12,108 accounts, 21% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
What kind of firm is HSBC Securities (USA) Inc.?
HSBC Securities (USA) Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are HSBC Securities (USA) Inc.’s clients?
By assets, its largest client types are individuals ($2.1 billion, 10,254 clients); high-net-worth individuals ($1.6 billion, 1,791 clients); pooled investment vehicles ($88 million, 28 clients).
Does HSBC Securities (USA) Inc. manage private funds?
Yes. It reports 8 private funds with $88 million in gross assets, including private equity funds.
Does HSBC Securities (USA) Inc. have any disciplinary history?
HSBC Securities (USA) Inc. answers yes to 111 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is HSBC Securities (USA) Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →