PN
Patrick F. Norris
HSBC SECURITIES (USA)
Buffalo, NY 14210
Some features on this profile are disabled
CRD#: 1578637
PN
Professional summary
Patrick Francis Norris II, CFP®, who also goes by Pat Norris II, Patrick Francis Norris, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Buffalo, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Patrick has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Norris Ii | Patrick Francis Norris
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.
Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Francis Norris II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Francis Norris II'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®
Experience
Current
May 23, 2007 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210Office #3: 8100 Transit Road Suite 500, Amherst, NY 14221RIA
BD
CRD#: 19585
Buffalo, NY
Current
March 27, 2006 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210Office #2: 8100 Transit Road Suite 500, Amherst, NY 14221RIA
BD
CRD#: 19585
Buffalo, NY
Past
February 16, 2005 - March 10, 2006
FIVE STAR INVESTMENT SERVICES, INC.
BD
CRD#: 101840
WARSAW, NY
Past
January 1, 2005 - March 10, 2005
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
April 17, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
June 8, 1993 - February 3, 2000
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
January 23, 1992 - June 1, 1993
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
September 27, 1991 - February 4, 1992
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past
July 28, 1989 - January 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 6, 1989 - June 20, 1989
MLB INVESTMENTS, LTD.
BD
CRD#: 18280
Past
December 20, 1988 - April 18, 1989
MONMOUTH INVESTMENTS, INC.
BD
CRD#: 14047
Past
December 9, 1988 - January 9, 1989
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
Past
December 6, 1988 - December 17, 1988
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
Past
July 19, 1988 - December 14, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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(3/27/2006)
IAR
Alabama(5/31/2011)
RR
Alaska(3/27/2006)
IAR
Alaska(5/31/2011)
RR
Arizona(3/27/2006)
RR
Arkansas(3/27/2006)
IAR
Arkansas(5/31/2011)
RR
California(3/27/2006)
RR
Colorado(3/27/2006)
RR
Connecticut(3/27/2006)
RR
Delaware(3/27/2006)
IAR
Delaware(3/12/2010)
RR
District of Columbia(3/27/2006)
IAR
District of Columbia(9/25/2018)
RR
Florida(3/27/2006)
RR
Georgia(3/27/2006)
IAR
Georgia(9/13/2011)
RR
Hawaii(3/27/2006)
RR
Idaho(3/27/2006)
RR
Illinois(3/27/2006)
RR
Indiana(3/27/2006)
IAR
Indiana(5/31/2011)
RR
Iowa(3/27/2006)
IAR
Iowa(9/20/2018)
RR
Kansas(3/27/2006)
IAR
Kansas(6/2/2011)
RR
Kentucky(3/27/2006)
RR
Louisiana(3/27/2006)
IAR
Louisiana(5/27/2011)
RR
Maine(3/27/2006)
IAR
Maine(2/7/2013)
RR
Maryland(3/27/2006)
IAR
Maryland(5/31/2011)
RR
Massachusetts(3/27/2006)
RR
Michigan(3/27/2006)
RR
Minnesota(3/27/2006)
IAR
Minnesota(9/20/2018)
RR
Mississippi(3/27/2006)
RR
Missouri(3/27/2006)
IAR
Missouri(8/20/2010)
RR
Montana(3/27/2006)
IAR
Montana(5/27/2011)
RR
Nebraska(3/27/2006)
IAR
Nebraska(5/5/2011)
RR
Nevada(3/27/2006)
IAR
Nevada(2/6/2008)
RR
New Hampshire(3/27/2006)
RR
New Jersey(3/27/2006)
IAR
New Jersey(4/6/2018)
RR
New Mexico(3/27/2006)
IAR
New Mexico(5/27/2011)
RR
New York(3/27/2006)
IAR
New York(6/25/2021)
RR
North Carolina(3/28/2006)
IAR
North Carolina(1/29/2008)
RR
North Dakota(3/27/2006)
IAR
North Dakota(6/6/2011)
RR
Ohio(3/28/2006)
IAR
Ohio(6/6/2008)
RR
Oklahoma(3/27/2006)
IAR
Oklahoma(11/24/2009)
RR
Oregon(3/27/2006)
RR
Pennsylvania(3/27/2006)
RR
Puerto Rico(3/27/2006)
RR
Rhode Island(3/27/2006)
RR
South Carolina(3/27/2006)
RR
South Dakota(3/27/2006)
RR
Tennessee(3/27/2006)
RR
Texas(3/27/2006)
IAR
Texas(3/19/2008)
RR
Utah(3/27/2006)
IAR
Utah(5/31/2011)
RR
Vermont(3/27/2006)
RR
Virginia(3/27/2006)
RR
Washington(3/27/2006)
RR
West Virginia(3/27/2006)
RR
Wisconsin(3/27/2006)
RR
Wyoming(3/27/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 19585Buffalo, NY 14210TRUST BUT VERIFY
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