Bradley H. Grossman
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.
Bradley Harris Grossman was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1993. Bradley had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2011 - January 31, 2012
HSBC SECURITIES (USA) INC.
June 13, 2011 - January 31, 2012
HSBC SECURITIES (USA) INC.
August 9, 2010 - June 6, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2004 - October 29, 2009
W.A. CAPITAL MARKETS
October 8, 2002 - January 2, 2004
PINETREE CAPITAL MANAGEMENT LLC
June 9, 1999 - December 20, 2002
W.A. CAPITAL MARKETS
February 2, 1998 - June 25, 1999
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
July 17, 1997 - October 14, 1997
NASH, WEISS & CO.
July 25, 1996 - August 28, 1996
FIRST WILLISTON CORPORATION
June 7, 1996 - June 27, 1997
NORTHEAST SECURITIES, LLC
April 3, 1996 - June 26, 1996
W.A. CAPITAL MARKETS
December 14, 1993 - February 29, 1996
TRADE MANAGE CAPITAL, 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 55
Date: 7/9/1998
Limited Representative-Equity Trader ExamCurrent 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.
