Monique N. Thacker
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.
Monique Naina Thacker, who also goes by Monique Thacker, was a registered financial professional .
Monique is a previously registered financial professional and started their career in finance in 1994. Monique had worked at 7 firms and has passed the Series 63, Series 6TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 14, Series 9, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - November 14, 2024
HSBC SECURITIES (USA) INC.
October 5, 2006 - January 28, 2013
UBS FINANCIAL SERVICES INC.
June 4, 2004 - October 6, 2006
EQUITABLE ADVISORS, LLC
February 28, 2003 - May 18, 2004
GPC SECURITIES, INC.
March 4, 2002 - July 16, 2002
PUGLISI & CO.
October 22, 1997 - March 4, 2002
LADENBURG THALMANN & CO. INC.
February 27, 1997 - September 16, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 27, 1997 - September 16, 1997
EQUITABLE ADVISORS, LLC
May 15, 1996 - January 14, 1997
UBS FINANCIAL SERVICES INC.
June 20, 1994 - January 20, 1996
LADENBURG THALMANN & CO. 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/29/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 3/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
