PB
Peter J. Boucher
HSBC SECURITIES (USA)
New York, NY 10001
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CRD#: 1071393
PB
Professional summary
Peter John Boucher is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 13 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Peter John Boucher's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 16, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Past
July 12, 2022 - November 3, 2025
MML STRATEGIC DISTRIBUTORS, LLC
BD
CRD#: 168638
SPRINGFIELD, MA
Past
June 23, 2015 - August 26, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LONG ISLAND CITY, NY
Past
February 5, 2010 - October 15, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
June 25, 2007 - October 13, 2009
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
September 4, 1998 - June 30, 2005
AXCELUS FINANCIAL DISTRIBUTION COMPANY
BD
CRD#: 38383
PHILADELPHIA, PA
Past
July 29, 1997 - September 15, 1998
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
November 16, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
January 9, 1993 - September 30, 1994
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
May 22, 1992 - December 24, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
April 1, 1991 - November 13, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
January 25, 1991 - April 18, 1991
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
August 30, 1984 - April 15, 1985
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
December 9, 1982 - September 5, 1984
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/13/2026)
RR
Arizona(4/17/2026)
RR
Arkansas(4/13/2026)
RR
California(4/9/2026)
RR
Colorado(4/10/2026)
RR
Connecticut(12/17/2025)
RR
Delaware(4/9/2026)
RR
District of Columbia(4/10/2026)
RR
Florida(4/10/2026)
RR
Georgia(4/10/2026)
RR
Idaho(4/10/2026)
RR
Illinois(4/10/2026)
RR
Indiana(4/10/2026)
RR
Iowa(4/9/2026)
RR
Kansas(4/10/2026)
RR
Louisiana(4/13/2026)
RR
Maine(4/9/2026)
RR
Maryland(4/20/2026)
RR
Michigan(4/13/2026)
RR
Minnesota(4/10/2026)
RR
Mississippi(4/13/2026)
RR
Montana(4/14/2026)
RR
Nebraska(4/9/2026)
RR
Nevada(4/13/2026)
RR
New Hampshire(4/14/2026)
RR
New Jersey(4/10/2026)
RR
New Mexico(4/10/2026)
RR
New York(1/26/2026)
RR
North Carolina(4/10/2026)
RR
North Dakota(4/13/2026)
RR
Ohio(4/9/2026)
RR
Oklahoma(4/14/2026)
RR
Pennsylvania(4/10/2026)
RR
Rhode Island(4/10/2026)
RR
South Carolina(4/15/2026)
RR
South Dakota(4/10/2026)
RR
Tennessee(4/10/2026)
RR
Texas(4/10/2026)
RR
Utah(4/13/2026)
RR
Vermont(4/9/2026)
RR
Virgin Islands(4/16/2026)
RR
Virginia(4/10/2026)
RR
Washington(4/9/2026)
RR
West Virginia(4/13/2026)
RR
Wisconsin(4/14/2026)
RR
Wyoming(4/9/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/12/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
66 Hudson Boulevard, New York, NY 10001
Mailing Address
227 West Monroe Suite 1810, Chicago, IL 60606
Phone number
(224) 880-8555
Established
Delaware since 12/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
473
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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| 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 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 87 |
| 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.
