Tracy L. Inghram
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.
Tracy Lee Inghram, who also goes by Tracy Lee Bishop, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1988. Tracy had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2011 - April 16, 2012
HSBC SECURITIES (USA) INC.
December 14, 2011 - April 16, 2012
HSBC SECURITIES (USA) INC.
October 29, 2010 - May 9, 2011
RAYMOND JAMES & ASSOCIATES, INC.
October 18, 2010 - May 9, 2011
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 2010 - September 30, 2010
CHASE INVESTMENT SERVICES CORP.
August 12, 2010 - September 30, 2010
CHASE INVESTMENT SERVICES CORP.
April 8, 2005 - April 28, 2010
RAYMOND JAMES & ASSOCIATES, INC.
March 18, 2005 - April 28, 2010
RAYMOND JAMES & ASSOCIATES, INC.
July 18, 1994 - March 28, 2005
A. G. EDWARDS & SONS, INC.
January 25, 1993 - March 28, 2005
A. G. EDWARDS & SONS, INC.
May 14, 1988 - February 3, 1993
LEHMAN BROTHERS INC.
February 23, 1988 - May 14, 1988
E. F. HUTTON & COMPANY INC
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.
