Thomas J. Flynn
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.
Thomas Joseph Flynn, who also goes by Thomas Flynn, Tom Flynn, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2009 - August 7, 2018
HSBC SECURITIES (USA) INC.
March 20, 2009 - August 7, 2018
HSBC SECURITIES (USA) INC.
July 21, 2008 - December 17, 2008
DAVID LERNER ASSOCIATES, INC.
May 24, 2007 - January 24, 2008
ALLSTATE FINANCIAL SERVICES, LLC
April 6, 2005 - May 1, 2007
BANCWEST INVESTMENT SERVICES, INC.
September 15, 2003 - June 7, 2004
ESSEX NATIONAL SECURITIES, LLC
August 15, 2002 - September 15, 2003
GATEWAY INVESTMENT SERVICES, INC.
August 1, 2000 - August 23, 2002
ESSEX NATIONAL SECURITIES, LLC
August 18, 1998 - July 26, 2000
GATEWAY INVESTMENT SERVICES, INC.
March 25, 1996 - October 17, 2000
HUNTER WORLD MARKETS, INC.
February 23, 1996 - March 14, 1996
BIRCHTREE FINANCIAL SERVICES LLC
June 2, 1995 - December 15, 1995
MOMENTUM INDEPENDENT NETWORK INC.
August 11, 1993 - June 7, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
March 22, 1990 - September 26, 1991
VFG SECURITIES, INC.
May 25, 1988 - August 17, 1988
GDM SECURITIES, 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
Series 62
Date: 3/20/1990
Corporate Securities Limited Representative ExaminationCurrent 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.
