Susan J. Herlyn

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CRD#: 1678381

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.

Susan Jean Herlyn, who also goes by Susan J Carbone, Susan Jean Carbone, Sue Herlyn, Susan J Herlyn, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1988. Susan had worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan J Carbone | Susan Jean Carbone | Sue Herlyn | Susan J Herlyn

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

January 1, 2005 - January 23, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

EAST SETAUKET, NY

Past

January 17, 2002 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 17, 2001 - February 23, 2001

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

December 19, 1997 - April 6, 1999

AMHERST SECURITIES GROUP, L.P.

CRD#: 31141

AUSTIN, TX

Past

June 17, 1992 - April 14, 1997

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 23, 1988 - September 25, 1990

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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: 2/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative 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

Susan J. Herlyn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC BROKERAGE (USA) INC.

FIS BROKERAGE & SECURITIES SERVICES LLC

AMHERST SECURITIES GROUP, L.P.

UBS SECURITIES LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/1989

Series 7

Date: 8/20/1988

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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