Marybeth Martin
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.
Marybeth Martin, who also goes by Mary E Achnitz, Mary Elizabeth Achnitz, Marybeth Achnitz, Mary Elizabeth Martin, Mary Martin, Marybeth Martin, was a registered financial professional .
Marybeth is a previously registered financial professional and started their career in finance in 1989. Marybeth had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - December 18, 2017
HSBC SECURITIES (USA) INC.
December 18, 2015 - October 10, 2017
OSAIC FS, INC.
March 21, 2013 - December 22, 2015
LPL FINANCIAL LLC
June 13, 2012 - March 7, 2013
LPL FINANCIAL LLC
June 4, 2009 - June 4, 2012
CHASE INVESTMENT SERVICES CORP.
December 5, 2008 - May 14, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - December 17, 2008
CITIGROUP GLOBAL MARKETS INC.
September 20, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 1, 2005 - September 27, 2005
HSBC SECURITIES (USA) INC.
March 26, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
January 8, 2004 - March 24, 2004
QUICK & REILLY, INC.
January 13, 2003 - January 15, 2004
HSBC BROKERAGE (USA) INC.
February 26, 1999 - January 7, 2003
CHASE INVESTMENT SERVICES CORP.
January 24, 1997 - March 4, 1999
UBS FINANCIAL SERVICES INC.
July 31, 1993 - January 19, 1995
CITIGROUP GLOBAL MARKETS INC.
February 25, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
October 17, 1991 - February 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 14, 1989 - October 23, 1991
GRUNTAL & CO., L.L.C.
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.
