CD
Christopher H. Dann
HSBC SECURITIES (USA)
Buffalo, NY 14210
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CRD#: 2163107
CD
Professional summary
Christopher Harriman Dann is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Buffalo, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Harriman Dann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Harriman Dann'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
May 31, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210Office #3: 8100 Transit Road Suite 500, Amherst, NY 14221RIA
BD
CRD#: 19585
Buffalo, NY
Current
April 20, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210Office #2: 8100 Transit Road Suite 500, Amherst, NY 14221RIA
BD
CRD#: 19585
Buffalo, NY
Past
May 5, 2005 - February 24, 2016
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
AMHERST, NY
Past
October 2, 1997 - April 28, 2005
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
December 9, 1992 - October 16, 1997
SAPERSTON FINANCIAL INC.
BD
CRD#: 27863
BUFFALO, NY
Past
August 23, 1991 - December 15, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(4/26/2018)
IAR
Alabama(1/16/2020)
RR
Alaska(4/26/2018)
IAR
Alaska(10/30/2018)
RR
Arizona(6/10/2016)
RR
Arkansas(5/23/2018)
RR
California(6/10/2016)
RR
Colorado(6/10/2016)
RR
Connecticut(4/20/2016)
RR
Delaware(4/26/2018)
IAR
Delaware(2/11/2020)
RR
District of Columbia(4/26/2018)
IAR
District of Columbia(12/26/2018)
RR
Florida(4/22/2016)
RR
Georgia(4/26/2018)
RR
Hawaii(6/10/2016)
RR
Idaho(4/26/2018)
RR
Illinois(6/10/2016)
RR
Indiana(5/23/2018)
IAR
Indiana(10/5/2018)
RR
Iowa(6/10/2016)
IAR
Iowa(10/15/2018)
RR
Kansas(4/26/2018)
IAR
Kansas(10/12/2018)
RR
Kentucky(4/26/2018)
RR
Louisiana(4/26/2018)
IAR
Louisiana(10/5/2018)
RR
Maine(4/26/2018)
IAR
Maine(10/4/2018)
RR
Maryland(4/22/2016)
IAR
Maryland(10/12/2018)
RR
Massachusetts(6/10/2016)
RR
Michigan(6/10/2016)
RR
Minnesota(6/10/2016)
IAR
Minnesota(10/5/2018)
RR
Mississippi(4/26/2018)
RR
Missouri(6/10/2016)
RR
Montana(4/26/2018)
IAR
Montana(10/5/2018)
RR
Nebraska(4/26/2018)
RR
Nevada(4/26/2018)
RR
New Hampshire(6/10/2016)
RR
New Jersey(4/20/2016)
IAR
New Jersey(5/31/2016)
RR
New Mexico(6/10/2016)
IAR
New Mexico(10/4/2018)
RR
New York(4/20/2016)
IAR
New York(7/7/2021)
RR
North Carolina(5/23/2018)
IAR
North Carolina(10/4/2018)
RR
North Dakota(4/26/2018)
IAR
North Dakota(10/9/2018)
RR
Ohio(4/26/2018)
RR
Oklahoma(4/26/2018)
RR
Oregon(4/22/2016)
RR
Pennsylvania(4/22/2016)
RR
Puerto Rico(4/26/2018)
RR
Rhode Island(4/26/2018)
RR
South Carolina(6/10/2016)
RR
South Dakota(4/26/2018)
RR
Tennessee(1/3/2018)
RR
Texas(6/10/2016)
IAR
Texas(10/4/2018)
RR
Utah(5/23/2018)
IAR
Utah(10/4/2018)
RR
Vermont(5/23/2018)
RR
Virgin Islands(5/23/2018)
RR
Virginia(6/10/2016)
RR
Washington(6/10/2016)
RR
West Virginia(5/23/2018)
RR
Wisconsin(5/23/2018)
RR
Wyoming(5/23/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Buffalo, NY 14210TRUST BUT VERIFY
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