DN
Dufresne Nicolas
HSBC SECURITIES (USA)
New York, NY 10001
Some features on this profile are disabled
CRD#: 2244992
DN
Professional summary
Dufresne Nicolas, who also goes by Didi Nicolas, Dufresne J Nicolas, Dufresne Jean Nicolas, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Dufresne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dufresne has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Didi Nicolas | Dufresne J Nicolas | Dufresne Jean Nicolas
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dufresne Nicolas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dufresne Nicolas'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 22, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Current
May 22, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Past
August 22, 2018 - April 30, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
August 10, 2018 - April 30, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
Past
April 24, 2018 - May 21, 2018
MORGAN STANLEY
RIA
CRD#: 149777
POUGHKEEPSIE, NY
Past
June 1, 2009 - May 21, 2018
MORGAN STANLEY
BD
CRD#: 149777
POUGHKEEPSIE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PEARL RIVER, NY
Past
July 8, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PEARL RIVER, NY
Past
July 28, 1997 - July 29, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 16, 1996 - July 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 5, 1993 - April 16, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(5/22/2024)
RR
Alaska(5/22/2024)
RR
Arizona(5/22/2024)
RR
Arkansas(5/22/2024)
RR
California(5/22/2024)
RR
Colorado(5/22/2024)
RR
Connecticut(5/22/2024)
RR
Delaware(5/22/2024)
RR
District of Columbia(5/22/2024)
RR
Florida(5/22/2024)
RR
Georgia(5/22/2024)
RR
Hawaii(5/22/2024)
RR
Idaho(5/22/2024)
RR
Illinois(5/22/2024)
RR
Indiana(5/22/2024)
RR
Iowa(5/22/2024)
RR
Kansas(5/22/2024)
RR
Kentucky(5/22/2024)
RR
Louisiana(5/22/2024)
RR
Maine(5/22/2024)
RR
Maryland(5/22/2024)
RR
Massachusetts(7/1/2024)
RR
Michigan(5/22/2024)
RR
Minnesota(5/22/2024)
RR
Mississippi(5/22/2024)
RR
Missouri(7/11/2024)
RR
Montana(5/22/2024)
RR
Nebraska(5/22/2024)
RR
Nevada(5/22/2024)
RR
New Hampshire(5/22/2024)
RR
New Jersey(5/22/2024)
RR
New Mexico(5/22/2024)
RR
New York(5/22/2024)
IAR
New York(5/22/2024)
RR
North Carolina(5/22/2024)
RR
North Dakota(5/22/2024)
RR
Ohio(5/22/2024)
RR
Oklahoma(5/22/2024)
RR
Oregon(5/22/2024)
RR
Pennsylvania(5/22/2024)
RR
Puerto Rico(5/22/2024)
RR
Rhode Island(5/22/2024)
RR
South Carolina(5/23/2024)
RR
South Dakota(5/22/2024)
RR
Tennessee(5/22/2024)
RR
Texas(5/22/2024)
RR
Utah(5/22/2024)
RR
Vermont(5/22/2024)
RR
Virgin Islands(5/22/2024)
RR
Virginia(5/22/2024)
RR
Washington(5/29/2024)
RR
West Virginia(5/22/2024)
RR
Wisconsin(5/22/2024)
RR
Wyoming(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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 ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 | |
| 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.
