Michael J. Rader
Professional summary
Michael John Rader, who also goes by Michael John Rader, Mike Rader, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Beverly Hills, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Rader's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Rader's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210March 19, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210July 19, 2023 - January 22, 2025
LPL FINANCIAL LLC
July 19, 2023 - January 22, 2025
LPL FINANCIAL LLC
October 25, 2022 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
October 24, 2022 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
December 21, 2020 - October 18, 2022
PRUCO SECURITIES, LLC.
December 21, 2020 - October 18, 2022
PRUCO SECURITIES, LLC.
February 8, 2016 - December 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2016 - December 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2013 - February 5, 2016
HSBC SECURITIES (USA) INC.
November 22, 2013 - February 5, 2016
HSBC SECURITIES (USA) INC.
December 11, 2012 - November 13, 2013
CAPITAL SYNERGY PARTNERS
November 14, 2012 - November 13, 2013
CAPITAL SYNERGY PARTNERS
May 2, 1994 - July 13, 1994
LEHMAN BROTHERS INC.
April 26, 1993 - September 23, 1993
J.P. MORGAN SECURITIES LLC
December 23, 1991 - December 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
December 20, 1990 - December 5, 1991
MORGAN STANLEY DW INC.
September 25, 1989 - December 21, 1990
LEHMAN BROTHERS INC.
May 23, 1989 - June 6, 1989
GLOBALVEST SECURITIES, (USA), 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
(3/19/2026)
(3/19/2026)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| 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 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 87 |
| 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.
