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HSBC SECURITIES (USA) INC.

Advisory

N·NEW YORK, NY

Data as of Jul 13, 2026 · Source: SEC Form ADV

Total AUM

$3.8B

1-Year AUM Growth

+7.0%

3-Year CAGR

-5.7%

Employees

402

Assets Under Management

Total AUM$3.8B

Discretionary AUM$825M

Non-Discretionary AUM$3.0B

Discretionary %21.5%

Total Clients12,180

Team

Total Employees402

Investment Advisers490

Employee Growth (1Y)0.0%

Private Funds

Number of Private Funds9

🔒 Fund-level details including strategies, gross assets, and individual fund records

Filing History

Total Filings on Record183

First FilingMar 31, 2006

Latest FilingJul 13, 2026

🔒 Full AUM trend chart and 183 historical filings spanning 20+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on HSBC SECURITIES (USA) INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.