MB
Michael E. Brocking
HSBC SECURITIES (USA)
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 1942647
MB
Professional summary
Michael Edward Brocking is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Brocking'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®
NoneExperience
Current
June 16, 2010 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floors 3 4, 5, 30, And Suites 2406, 2407, New York, NY, 10001RIA
BD
CRD#: 19585
NEW YORK, NY
Past
November 6, 2009 - April 27, 2010
G-TRADE SERVICES LLC
BD
CRD#: 140314
NEW YORK, NY
Past
June 3, 2005 - November 6, 2009
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
May 13, 2003 - May 18, 2005
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
April 18, 1989 - March 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
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.
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(6/16/2010)
RR
Alaska(6/16/2010)
RR
Arizona(6/16/2010)
RR
Arkansas(6/16/2010)
RR
California(6/16/2010)
RR
Colorado(6/16/2010)
RR
Connecticut(6/16/2010)
RR
Delaware(6/16/2010)
RR
District of Columbia(6/16/2010)
RR
Florida(6/16/2010)
RR
Georgia(6/16/2010)
RR
Hawaii(6/16/2010)
RR
Idaho(6/16/2010)
RR
Illinois(6/16/2010)
RR
Indiana(6/16/2010)
RR
Iowa(6/16/2010)
RR
Kansas(6/16/2010)
RR
Kentucky(6/16/2010)
RR
Louisiana(6/16/2010)
RR
Maine(6/16/2010)
RR
Maryland(6/16/2010)
RR
Massachusetts(6/16/2010)
RR
Michigan(6/16/2010)
RR
Minnesota(6/16/2010)
RR
Mississippi(6/16/2010)
RR
Missouri(6/16/2010)
RR
Montana(6/16/2010)
RR
Nebraska(6/16/2010)
RR
Nevada(6/16/2010)
RR
New Hampshire(6/16/2010)
RR
New Jersey(6/16/2010)
RR
New Mexico(6/16/2010)
RR
New York(6/16/2010)
RR
North Carolina(6/17/2010)
RR
North Dakota(6/16/2010)
RR
Ohio(6/17/2010)
RR
Oklahoma(6/16/2010)
RR
Oregon(6/16/2010)
RR
Pennsylvania(6/16/2010)
RR
Puerto Rico(6/16/2010)
RR
Rhode Island(6/16/2010)
RR
South Carolina(6/16/2010)
RR
South Dakota(6/16/2010)
RR
Tennessee(6/16/2010)
RR
Texas(6/16/2010)
RR
Utah(6/16/2010)
RR
Vermont(6/16/2010)
RR
Virgin Islands(6/16/2010)
RR
Virginia(6/16/2010)
RR
Washington(6/16/2010)
RR
West Virginia(6/16/2010)
RR
Wisconsin(6/16/2010)
RR
Wyoming(6/16/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/2/2020
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product 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.
