Jeffrey P. Speicher
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.
Jeffrey Paul Speicher was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1985. Jeffrey had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - July 22, 2014
HSBC SECURITIES (USA) INC.
November 11, 2009 - July 22, 2014
HSBC SECURITIES (USA) INC.
May 2, 2009 - October 15, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 15, 2009
CHASE INVESTMENT SERVICES CORP.
January 3, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
May 1, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
April 23, 1993 - May 1, 2002
DIME SECURITIES, INC.
May 30, 1990 - February 25, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 30, 1990 - February 25, 1992
PRUCO SECURITIES, LLC.
January 10, 1990 - February 6, 1990
J. T. MORAN & CO., INC.
June 29, 1989 - January 11, 1990
WAMU INVESTMENTS, INC.
March 10, 1989 - May 24, 1989
J F LOWE & COMPANY INCORPORATED
March 23, 1988 - March 10, 1989
INVESTORS CENTER, INC.
January 11, 1988 - May 18, 1988
BEURET & COMPANY, LTD.
May 21, 1987 - April 7, 1988
RANDOLPH BROWN SECURITIES CORPORATION
October 22, 1985 - February 26, 1986
FORESTERS FINANCIAL SERVICES, 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.
