Paul S. Mcandrews
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.
Paul Stuart Mcandrews, who also goes by Paul Stewart Mcandrews, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - June 23, 2020
HSBC SECURITIES (USA) INC.
November 21, 2012 - September 22, 2015
HSBC SECURITIES (USA) INC.
July 15, 2010 - August 6, 2012
MSI FINANCIAL SERVICES, INC.
April 7, 2004 - February 19, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 10, 2003 - April 27, 2004
SEABOARD SECURITIES, INC.
July 12, 1999 - December 17, 2001
CITICORP INVESTMENT SERVICES
February 19, 1998 - June 11, 1999
M&T SECURITIES, INC.
July 3, 1997 - August 12, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
September 27, 1996 - January 14, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
August 26, 1996 - September 27, 1996
THE BOSTON GROUP
May 24, 1996 - August 16, 1996
MASON HILL & CO., INC.
June 10, 1993 - August 17, 1993
J.P. MORGAN SECURITIES LLC
November 5, 1992 - June 15, 1993
MORGAN STANLEY DW INC.
November 25, 1991 - March 10, 1992
PRUDENTIAL EQUITY GROUP, LLC
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
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.
