Howard R. Plotkin
Professional summary
Howard R Plotkin, who also goes by Howard R. Plotkin, Howard Russ Plotkin, Howard Plotkin, is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in New York City, New York.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1996. Howard has worked at 10 firms and has passed the Series 57TO, SIE, Series 7, Series 3, Series 14, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard R Plotkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 13, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard, New York City, NY 10001August 14, 2023 - June 3, 2026
CREDIT AGRICOLE SECURITIES (USA) INC.
February 28, 2019 - January 11, 2022
FIRST CITIZENS CAPITAL SECURITIES, LLC
February 1, 2010 - May 18, 2018
RBC CAPITAL MARKETS, LLC
December 9, 2008 - October 30, 2009
BARCLAYS CAPITAL INC.
September 15, 2000 - December 15, 2008
LEHMAN BROTHERS INC.
March 19, 1998 - August 30, 2000
SALOMON REINVESTMENT COMPANY INC
November 28, 1997 - August 30, 2000
CITIGROUP GLOBAL MARKETS INC.
March 13, 1996 - September 1, 1998
SALOMON BROTHERS INC.
February 1, 1996 - March 8, 1996
GOLDMAN SACHS & CO. 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe 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 ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
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.
