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HSBC SECURITIES (USA) INC.
CRD 19585File 801-64563
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$3.84B
Top 25% of cohort (national)
Discretionary AUM
$824.5M
Non-discretionary $3.01B
Clients
12,108
12,108 accounts
Employees
490
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Aug 30, 2005
- Principal office
- 66 HUSDSON BOULEVARD EAST, NEW YORK, NY, 10001
- Phone
- 212-525-2879
- Website
- HTTPS://WWW.US.HSBC.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $3.84B
- Discretionary AUM
- $824.5M
- Non-discretionary AUM
- $3.01B
- Discretionary accounts
- 2,316
- Non-discretionary accounts
- 9,792
- Total accounts
- 12,108
- AUM per client
- $317K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 27 | $45.5M |
| Non-U.S. persons | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 1,791 | $1.55B |
| Pooled investment vehicles | 28 | $88.0M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | 8 | $5.0M |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | 10,254 | $2.15B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11A2
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E1
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 473 | 490 | increased by17 |
| Apr 1, 2026 | Clients | 12,180 | 12,108 | decreased by72 |
| Apr 1, 2026 | AUM | $3,232,551,904 | $3,838,097,569 | increased by$605,545,665 |
| Apr 1, 2026 | Accounts | 12,180 | 12,108 | decreased by72 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 883 | 473 | decreased by410 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 15,727 | 12,180 | decreased by3,547 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,856,530,902 | $3,232,551,904 | decreased by$623,978,998 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 15,727 | 12,180 | decreased by3,547 |
| Apr 1, 2022 | Employees | 741 | 883 | increased by142 |
| Apr 1, 2022 | Clients | 16,352 | 15,727 | decreased by625 |
| Apr 1, 2022 | AUM | $3,654,415,679 | $3,856,530,902 | increased by$202,115,223 |
| Apr 1, 2022 | Accounts | 16,117 | 15,727 | decreased by390 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HSBC SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HSBC SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.