SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
HSBC Securities (USA) Inc.
New York, NY
CRD 19585
Firm filing updated September 25, 2026 ·
- $3.8BAssets
- 402Advisory staff
- 12,108Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals10,254
- High net worth individuals1,791
- Pooled vehicles28
- Corporations or other businesses27
- Pension and profit sharing plans8
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 10,254 | $2.1 billion |
| High net worth individuals | 1,791 | $1.6 billion |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 28 | $88.0 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $5.0 million |
| Charitable organizations | Fewer than 5 clients | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $0 |
| Other investment advisors | Fewer than 5 clients | $0 |
| Insurance companies | Fewer than 5 clients | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | 27 | $45.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
See all 4 services
- Other: "PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL"
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Other: "PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL"
Assets and accounts
- Regulatory assets$3.8 billion
- Accounts12,108
- Discretionary$824.5 million · 2,316 accounts
- Non-discretionary$3.0 billion · 9,792 accounts
People
- Employees490
- Advisory staff402
- Broker-dealer reps365
- Licensed insurance agents251
- Planning clients0
Advisors
240 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 19585, SEC file 801-64563.
- Registered with the SEC as an investment advisor (status date on record: August 30, 2005).
Is HSBC Securities (USA) Inc. a fiduciary?
Short answer: HSBC Securities (USA) Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 365 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
251 staff are licensed insurance agents, the firm is itself an insurance broker or agent and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.