Himanshoo V. Kotak
Professional summary
Himanshoo V Kotak was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Himanshoo is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Himanshoo had worked at 12 firms, which includes HSBC SECURITIES (USA) INC., BNY CAPITAL MARKETS INC., UST SECURITIES CORP., UST FINANCIAL SERVICES CORP., FIRST MONTAUK SECURITIES CORP., PRUDENTIAL EQUITY GROUP LLC, MONMOUTH INVESTMENTS INC., ROBERT THOMAS SECURITIES INC, PHILIPS APPEL & WALDEN INC., RANDOLPH BROWN SECURITIES CORPORATION, GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2006 - March 14, 2012
HSBC SECURITIES (USA) INC.
April 7, 2004 - August 28, 2006
BNY CAPITAL MARKETS INC.
June 5, 2002 - April 1, 2004
UST SECURITIES CORP.
December 20, 1999 - August 31, 2001
UST FINANCIAL SERVICES CORP.
April 21, 1993 - July 20, 1999
FIRST MONTAUK SECURITIES CORP.
April 7, 1989 - April 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 6, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
May 26, 1988 - September 22, 1988
ROBERT THOMAS SECURITIES, INC
April 26, 1988 - June 1, 1988
PHILIPS, APPEL & WALDEN, INC.
February 17, 1988 - May 7, 1988
RANDOLPH BROWN SECURITIES CORPORATION
January 12, 1988 - April 12, 1988
GREENTREE SECURITIES CORP.
December 22, 1987 - December 31, 1987
BROOKS WEINGER ROBBINS & LEEDS 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
