Joseph A. Perry

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CRD#: 1503178

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.

Joseph Anthony Perry, who also goes by Joe Perry, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Perry

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 14, 2014 - May 9, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

December 7, 2007 - May 14, 2014

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 23, 2005 - May 16, 2007

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 8, 2003 - July 20, 2005

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

August 29, 1990 - November 25, 1991

SCHRODER & CO. INC.

CRD#: 6112

Past

November 3, 1989 - November 28, 1989

HARMONY TRADING COMPANY L.P.

CRD#: 23956

Past

October 22, 1986 - February 7, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2003

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/3/1987

National Commodity Futures Examination

Principal/Supervisory Exam

Series 53

Date: 8/24/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/2004

General Securities Principal Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC PRISM ADVISORY (10/16/2025)

HSBC SECURITIES (USA) INC. (9/15/2025)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (6/16/2025)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (3/28/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Firm Stability Insights

Joseph A. Perry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PERSHING LLC

CIBC WORLD MARKETS CORP.

BANC OF AMERICA SECURITIES LLC

SCHRODER & CO. INC.

HARMONY TRADING COMPANY L.P.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/5/1987

SIE

Date: 5/9/2016

Series 7

Date: 8/13/2003

Series 3

Date: 9/3/1987

Series 53

Date: 8/24/2005

Series 24

Date: 9/23/2004

Current Firm

HSBC SECURITIES (USA) INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

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