Hedge Fund Database

HSBC SECURITIES (USA) INC.

Adviser information for HSBC SECURITIES (USA) INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 507
Investment Advisory/Research 340
Registered Broker-Dealer Representatives 314
Registered State Investment Advisers 108
Licensed Agents of an Insurance Company 262
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,414 $378.0M
Non-Discretionary 10,973 $2.6B
Total 12,387 $3.0B

Clients

Type Number RAUM
Individuals 11,098 $2.0B
HNW Individuals 1,230 $937.6M
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 30 $90.6M
Pension and profit sharing plans 11 $8.5M
Charitable organizations <5 $0
State or municipal gov entities <5 $0
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 18 $20.9M
Other <5 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Broker-dealerFutures commission merchantInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 3.0B
Portfolio Manager 2.6B
Both for Same 3.0B
Portfolio Manager to Program Sponsor
SPECTRUM HSBC SECURITIES (USA) INC.
WEALTH TRACK PROGRAM HSBC SECURITIES (USA) INC.
MANAGED PORTFOLIO ACCOUNT HSBC SECURITIES (USA) INC.
SPECTRUM 2 HSBC SECURITIES (USA) INC.

Identifiers

SEC RIA File Number 801-64563
SEC ERA File Number 801-64563
SEC CIK Numbers 1092524, 853784
SEC CRD Numbers 19585
Legal Entity Identifier CYYGQCGNHMHPSMRL3R97

Principal Office

452 FIFTH AVENUE
NEW YORK
NY
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 212-525-2879, Fax: 212-382-5560

Websites

www.us.hsbc.com/

Chief Compliance Officer

IAN G. SHAW
CHIEF COMPLIANCE OFFICER-INVESTMENT ADVISER
452 FIFTH AVENUE
NEW YORK
NY
United States
Tel: 212-525-4107
Fax: 212-382-5560
(Full email address available in API data)

Regulatory Contact

ROBERTO ALBERTI
VICE PRESIDENT, COMPLIANCE
452 FIFTH AVENUE
NEW YORK
NY
United States
Tel: 212-525-3721
Fax: 212-382-5560
(Full email address available in API data)

Industry Affiliates

HSBC BANK USA, N.A. Registered security-based swap dealerBanking or thrift institutionTrust company
HSBC GLOBAL ASSET MANAGEMENT (USA) INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
452 LATIN AMERICA INSTITUTIONAL FUND L.P. Private Equity Fund $2.6M $1.0M 5
452 LATIN AMERICA PARTNERS L.P. Private Equity Fund $1.7M $1.0M 6
452 LATIN AMERICA PRIVATE EQUITY INVESTORS L.P. Private Equity Fund $24.1M $1.0M 3
452 PRIVATE EQUITY ACCESS FUND, L.P. Private Equity Fund $5.2M $1.0M 6
452 PRIVATE EQUITY INVESTORS CAYMAN L.P. Private Equity Fund $42.7M $1.0M 4
452 PRIVATE EQUITY PARTNERS II USA L.P. Private Equity Fund $0.8M $1.0M 2
HSBC LATIN AMERICAN COINVESTMENT PARTNERS, L.P. Private Equity Fund $13.4M $1.0M 2
HSBC REAL ESTATE EQUITY PARTNERS USA, L.P. Real Estate Fund $0.0M $1.0M 2

Control Persons

Name Type Entity Title Since Ownership
HSBC HOLDINGS PLC Foreign Entity HSBC OVERSEAS HOLDINGS (UK) LIMITED ULTIMATE PARENT COMPANY 07/2005 > 75%
HSBC MARKETS (USA), INC. Domestic Entity – PARENT 08/1995 > 75%
HSBC INVESTMENTS (NORTH AMERICA) INC. Domestic Entity HSBC MARKETS (USA) INC. HOLDING COMPANY 01/2004 > 75%
HSBC NORTH AMERICA HOLDINGS INC. Domestic Entity HSBC INVESTMENTS (NORTH AMERICA) INC. HOLDING COMPANY 01/2004 > 75%
HSBC OVERSEAS HOLDINGS (UK) LIMITED Foreign Entity HSBC NORTH AMERICA HOLDINGS INC. HOLDING COMPANY 07/2005 > 75%
SAHADI, NICHOLAS MITCHELL Individual – CHIEF COMPLIANCE OFFICER - BD 06/2018 < 5%
PITTSEY, MARK ANDREW Individual – DIRECTOR, HEAD OF GPB AMERICAS, US WEALTH, SALES AND DISTRIBUTION 10/2020 < 5%
HENDERSON, JASON RYAN Individual – PRESIDENT/CEO/DIRECTOR 10/2020 < 5%
BUSCAGLIA, SARA FAYE Individual – DIRECTOR 10/2020 < 5%
BENDER, SETH Individual – GENERAL COUNSEL 11/2021 < 5%
FARRELL, JOHN Individual – HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER 02/2022 < 5%
MEHTA, ORESTA Individual – DIRECTOR 08/2022 < 5%
CHAMBERS, TREVOR C Individual – CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER 06/2023 < 5%
SHAW, IAN G Individual – MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA 01/2024 < 5%

No. Employees, Historic

2,0001,000020192020202120222023202420251017 on 4/1/20191017 on 4/30/20191017 on 5/8/20191017 on 5/21/20191017 on 10/4/20191017 on 11/13/20191017 on 11/28/20191017 on 1/8/20201017 on 3/31/20201017 on 3/31/20201017 on 4/1/20201017 on 4/3/20201017 on 4/9/20201017 on 4/9/20201017 on 6/15/20201017 on 6/24/20201017 on 10/9/20201017 on 11/16/20201017 on 3/1/2021741 on 3/30/2021741 on 4/30/2021741 on 5/14/2021741 on 5/24/2021741 on 7/23/2021741 on 8/5/2021741 on 10/6/2021741 on 11/11/2021741 on 12/20/2021741 on 3/14/2022883 on 3/31/2022883 on 3/31/2022883 on 4/1/2022883 on 4/4/2022883 on 7/6/2022883 on 7/6/2022883 on 8/29/2022883 on 2/27/2023510 on 3/28/2023510 on 3/28/2023510 on 5/2/2023510 on 5/31/2023510 on 6/28/2023510 on 7/28/2023510 on 10/20/2023510 on 12/15/2023510 on 12/15/2023510 on 12/18/2023510 on 1/2/2024507 on 3/27/2024

RAUM, Historic

4B2B020192020202120222023202420253376711516 on 4/1/20193376711516 on 4/30/20193376711516 on 5/8/20193376711516 on 5/21/20193376711516 on 10/4/20193376711516 on 11/13/20193376711516 on 11/28/20193376711516 on 1/8/20203927672946 on 3/31/20203927672946 on 3/31/20203927672946 on 4/1/20203927672946 on 4/3/20203927672946 on 4/9/20203927672946 on 4/9/20203927672946 on 6/15/20203927672946 on 6/24/20203927672946 on 10/9/20203927672946 on 11/16/20203927672946 on 3/1/20213654415679 on 3/30/20213654415679 on 4/30/20213654415679 on 5/14/20213654415679 on 5/24/20213654415679 on 7/23/20213654415679 on 8/5/20213654415679 on 10/6/20213654415679 on 11/11/20213654415679 on 12/20/20213654415679 on 3/14/20223856530902 on 3/31/20223856530902 on 3/31/20223856530902 on 4/1/20223856530902 on 4/4/20223856530902 on 7/6/20223856530902 on 7/6/20223856530902 on 8/29/20223856530902 on 2/27/20232818810644 on 3/28/20232818810644 on 3/28/20232818810644 on 5/2/20232818810644 on 5/31/20232818810644 on 6/28/20232818810644 on 7/28/20232818810644 on 10/20/20232818810644 on 12/15/20232818810644 on 12/15/20232818810644 on 12/18/20232818810644 on 1/2/20243020419445 on 3/27/2024

No. Clients, Historic

20,00010,0000201920202021202220232024202517533 on 4/1/201917533 on 4/30/201917533 on 5/8/201917533 on 5/21/201917533 on 10/4/201917533 on 11/13/201917533 on 11/28/201917533 on 1/8/202017786 on 3/31/202017786 on 3/31/202017786 on 4/1/202017786 on 4/3/202017786 on 4/9/202017786 on 4/9/202017786 on 6/15/202017786 on 6/24/202017786 on 10/9/202017786 on 11/16/202017786 on 3/1/202116352 on 3/30/202116352 on 4/30/202116352 on 5/14/202116352 on 5/24/202116352 on 7/23/202116352 on 8/5/202116352 on 10/6/202116352 on 11/11/202116352 on 12/20/202116352 on 3/14/202215727 on 3/31/202215727 on 3/31/202215727 on 4/1/202215727 on 4/4/202215727 on 7/6/202215727 on 7/6/202215727 on 8/29/202215727 on 2/27/202313225 on 3/28/202313225 on 3/28/202313225 on 5/2/202313225 on 5/31/202313225 on 6/28/202313225 on 7/28/202313225 on 10/20/202313225 on 12/15/202313225 on 12/15/202313225 on 12/18/202313225 on 1/2/202412387 on 3/27/2024