Leo P. Dugan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leo Peter Dugan, who also goes by Leo P Dugan, Leo Dugan, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1982. Leo had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2007 - December 10, 2019
HSBC SECURITIES (USA) INC.
July 14, 2007 - November 17, 2018
HSBC SECURITIES (USA) INC.
October 16, 1998 - May 29, 2007
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - May 29, 2007
CHASE INVESTMENT SERVICES CORP.
April 21, 1995 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
October 3, 1994 - May 1, 1995
CONSECO SECURITIES, INC.
September 26, 1994 - May 1, 1995
CHEMICAL INVESTOR SERVICES, INC.
December 9, 1991 - September 19, 1994
ROBERT W. BAIRD & CO. INCORPORATED
December 9, 1991 - September 19, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 19, 1991 - November 1, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
November 19, 1989 - May 13, 1991
OSAIC WEALTH, INC.
February 27, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 5, 1986 - January 16, 1988
CAG RESOURCES, INC.
February 27, 1985 - August 4, 1986
EBCO SECURITIES TRADING CO.,INC.
July 19, 1984 - November 25, 1986
SUMMIT CAPITAL GROUP,LTD.
March 29, 1982 - March 9, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
