Duane A. Darling
Professional summary
Duane Allen Darling was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Duane is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Duane had worked at 4 firms, which includes HSBC BROKERAGE (USA) INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, AMERICAN EXPRESS FINANCIAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2003 - July 14, 2004
HSBC BROKERAGE (USA) INC.
February 5, 2002 - April 30, 2003
IDS LIFE INSURANCE COMPANY
November 2, 2001 - January 31, 2002
IDS LIFE INSURANCE COMPANY
December 22, 1986 - April 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 9, 1982 - May 31, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
February 9, 1982 - May 31, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
February 9, 1982 - May 31, 1983
IDS LIFE INSURANCE COMPANY
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 BROKERAGE (USA) INC.
CRD#: 6956 / SEC#: , 8-19814
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA) INC. | 100% SHAREHOLDER | |
| BENAK, MARVIN | SALES DIRECTOR | 3179319 |
| COON, DAVID BRUCE | HEAD OF SALES INFRASTRUCTURE | 720493 |
| ESPOSITO, RAYMOND | SALES DIRECTOR | 2271775 |
| FUREY III, THOMAS JOSEPH | DIRECTOR, CHIEF TRADING OFFICER | 4383891 |
| GALLINO, JOSEPH ANTHONY | ASSISTANT SECRETARY & CHIEF COMPLIANCE OFFICER | 1076376 |
| MCDONAGH, BRENDAN PAUL | DIRECTOR, CHAIRMAN | |
| MURNANE, JEREMIAH THOMAS | DIRECTOR | |
| PLIS, DANIEL JOSEPH | SALES DIRECTOR | 1316128 |
| SAMANIEGO, FABIAN ANABAL JR | DIRECTOR, COO & CFO | 1195996 |
| SCORDATO, DAVID VINCENT | SALES DIRECTOR | 1641185 |
| TUNG, GEA | SECRETARY | 2320421 |
| WEBSTER, GREGORY HAROLD | DIRECTOR, CEO & FIRM PRINCIPAL | 1494389 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
Red Flags
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