Frank J. Antonelli
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.
Frank Joseph Antonelli, who also goes by Frank J Antonelli, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2013 - May 4, 2016
HSBC SECURITIES (USA) INC.
August 28, 2013 - May 4, 2016
HSBC SECURITIES (USA) INC.
October 1, 2012 - August 6, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 6, 2013
J.P. MORGAN SECURITIES LLC
February 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 21, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
June 21, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
March 29, 2007 - February 26, 2009
HSBC SECURITIES (USA) INC.
March 29, 2007 - February 26, 2009
HSBC SECURITIES (USA) INC.
April 7, 2005 - March 26, 2007
CHASE INVESTMENT SERVICES CORP.
September 2, 2003 - March 26, 2007
CHASE INVESTMENT SERVICES CORP.
July 20, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
July 20, 2001 - May 27, 2003
VALIC FINANCIAL ADVISORS, INC.
August 30, 2000 - July 12, 2001
METROPOLITAN LIFE INSURANCE COMPANY
August 30, 2000 - July 12, 2001
MSI FINANCIAL SERVICES, INC.
August 12, 1999 - July 21, 2000
MORGAN STANLEY DW INC.
April 16, 1999 - May 28, 1999
THE MINNEAPOLIS COMPANY, 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 62
Date: 4/15/1999
Corporate Securities Limited Representative ExaminationCurrent 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.
