HT
Hugh M. Tuomey
HSBC SECURITIES (USA)
Boston, MA 02110
Some features on this profile are disabled
CRD#: 1276311
HT
Professional summary
Hugh Michael Tuomey, who also goes by Hugh Michael Tuomey, Hugh M. Tuomey, Hugh Tuomey, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Boston, Massachusetts.
Hugh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Hugh has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hugh Michael Tuomey | Hugh M. Tuomey | Hugh Tuomey
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) - RIA
Click below to view Hugh Michael Tuomey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hugh Michael Tuomey'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
September 21, 2021 - Present
HSBC SECURITIES (USA) INC.
Office #1: 99 High Street 29th Floor, Boston, MA 02110RIA
BD
CRD#: 19585
Boston, MA
Current
September 21, 2021 - Present
HSBC SECURITIES (USA) INC.
Office #1: 99 High Street 29th Floor, Boston, MA 02110RIA
BD
CRD#: 19585
Boston, MA
Past
August 3, 2021 - October 6, 2021
WEILD & CO.
BD
CRD#: 132398
BOULDER, CO
Past
November 23, 2020 - June 21, 2021
BUILD ASSET MANAGEMENT
RIA
CRD#: 298354
Wellesley, MA
Past
April 14, 2016 - February 26, 2019
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
June 23, 2010 - February 29, 2016
SCOTIA CAPITAL (USA) INC.
BD
CRD#: 2739
BOSTON, MA
Past
September 16, 2008 - June 4, 2010
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
August 6, 2007 - September 17, 2008
CPIM SECURITIES LLC
BD
CRD#: 141295
CONCORD, MA
Past
July 27, 2005 - April 4, 2007
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
March 30, 2004 - July 15, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
October 1, 1996 - April 6, 2004
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 8, 1992 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
BD
CRD#: 28613
Past
January 18, 1990 - November 18, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
BD
CRD#: 23959
Past
June 20, 1984 - November 10, 1987
SALOMON BROTHERS INC.
BD
CRD#: 740
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(12/19/2022)
RR
Alaska(12/21/2022)
RR
Arizona(12/19/2022)
RR
Arkansas(12/20/2022)
RR
California(12/20/2022)
RR
Colorado(12/20/2022)
RR
Connecticut(12/20/2022)
RR
Delaware(1/13/2023)
RR
District of Columbia(12/20/2022)
RR
Florida(12/20/2022)
RR
Georgia(12/21/2022)
RR
Hawaii(12/20/2022)
RR
Idaho(12/20/2022)
RR
Illinois(12/21/2022)
RR
Indiana(12/20/2022)
RR
Iowa(12/22/2022)
RR
Kansas(12/21/2022)
RR
Kentucky(12/20/2022)
RR
Louisiana(12/20/2022)
RR
Maine(12/20/2022)
RR
Maryland(12/20/2022)
RR
Massachusetts(12/20/2022)
RR
Michigan(12/22/2022)
RR
Minnesota(1/3/2023)
RR
Mississippi(12/21/2022)
RR
Missouri(12/20/2022)
RR
Montana(12/19/2022)
RR
Nebraska(12/19/2022)
RR
Nevada(1/7/2023)
RR
New Hampshire(12/21/2022)
RR
New Jersey(1/18/2023)
RR
New Mexico(12/20/2022)
IAR
New York(9/21/2021)
RR
New York(9/23/2021)
RR
North Carolina(12/20/2022)
RR
North Dakota(1/3/2023)
RR
Ohio(12/19/2022)
RR
Oklahoma(1/5/2023)
RR
Oregon(12/20/2022)
RR
Pennsylvania(12/20/2022)
RR
Puerto Rico(12/21/2022)
RR
Rhode Island(1/3/2023)
RR
South Carolina(12/20/2022)
RR
South Dakota(1/3/2023)
RR
Tennessee(12/20/2022)
RR
Texas(12/20/2022)
RR
Utah(12/20/2022)
RR
Vermont(12/20/2022)
RR
Virgin Islands(1/3/2023)
RR
Virginia(12/20/2022)
RR
Washington(12/20/2022)
RR
West Virginia(12/20/2022)
RR
Wisconsin(12/20/2022)
RR
Wyoming(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
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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 | |
| 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Boston, MA 02110TRUST BUT VERIFY
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