Gregg A. Eisenstein
Professional summary
Gregg Alan Eisenstein, who also goes by Gregg A Eisenstein, Gregg Alan Eisenstein, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New Hyde Park, New York.
Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Gregg has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregg Alan Eisenstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregg Alan Eisenstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1572 Union Tpke, New Hyde Park, NY 11040January 24, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1572 Union Tpke, New Hyde Park, NY 11040December 13, 2017 - April 8, 2024
CITIGROUP GLOBAL MARKETS INC.
December 11, 2017 - April 8, 2024
CITIGROUP GLOBAL MARKETS INC.
August 31, 2015 - January 4, 2018
HSBC SECURITIES (USA) INC.
August 27, 2015 - January 4, 2018
HSBC SECURITIES (USA) INC.
October 7, 2014 - June 18, 2015
GERSTEIN FISHER
October 6, 2014 - June 18, 2015
GFA SECURITIES, LLC
November 7, 2012 - October 14, 2014
THE MUTUAL FUND STORE
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
June 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 29, 2009 - June 25, 2010
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 9, 2008 - May 13, 2009
WALNUT STREET SECURITIES, INC.
March 14, 2006 - May 13, 2009
WALNUT STREET SECURITIES, INC.
October 8, 2003 - December 15, 2005
GREENWICH GLOBAL, LLC
May 2, 2000 - August 20, 2003
GILFORD SECURITIES INCORPORATED
September 2, 1999 - May 23, 2000
TASIN & COMPANY, INC.
November 3, 1998 - October 15, 1999
FIRST MONTAUK SECURITIES CORP.
August 12, 1994 - November 2, 1998
PRIME CHARTER LTD.
October 4, 1993 - August 16, 1994
D. BLECH & COMPANY, INCORPORATED
September 16, 1993 - September 29, 1993
BLUESTONE CAPITAL CORP.
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
(3/18/2025)
(3/18/2025)
(1/24/2025)
(3/18/2025)
(3/18/2025)
(3/18/2025)
(3/6/2026)
(3/18/2025)
(6/10/2025)
(1/24/2025)
(1/24/2025)
(1/23/2025)
(1/24/2025)
(3/18/2025)
(11/25/2025)
(3/18/2025)
(3/18/2025)
(3/18/2025)
(7/25/2025)
(7/25/2025)
(7/11/2025)
(3/18/2025)
Exams
Cboe 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 BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
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.
