RR
Richard J. Rizzo
HSBC SECURITIES (USA)
Radnor, PA 19087
Some features on this profile are disabled
CRD#: 2625367
RR
Professional summary
Richard John Rizzo Jr, who also goes by Rich Rizzo, Richard John Rizzo Jr, Richard John Rizzo, Richard Rizzo, is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in Radnor, Pennsylvania.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 9 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rich Rizzo | Richard John Rizzo Jr | Richard John Rizzo | Richard Rizzo
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) - BD
Click below to view Richard John Rizzo Jr'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
April 30, 2019 - Present
HSBC SECURITIES (USA) INC.
Office #1: 150 Radnor-chester Road Suite A-250, Radnor, PA 19087RIA
BD
CRD#: 19585
Radnor, PA
Past
May 4, 2017 - July 26, 2018
CAPITAL ONE SECURITIES, INC.
BD
CRD#: 44158
NEW ORLEANS, LA
Past
March 10, 2016 - September 30, 2016
MUFG AMERICAS CORPORATE ADVISORY, INC.
BD
CRD#: 10151
New York, NY
Past
August 22, 2012 - October 4, 2012
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
March 24, 2009 - July 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RADNOR, PA
Past
February 12, 2008 - June 2, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 1, 2003 - May 17, 2004
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
August 11, 1995 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
CHARLOTTE, NC
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.
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(4/30/2019)
RR
Alaska(4/30/2019)
RR
Arizona(4/30/2019)
RR
Arkansas(4/30/2019)
RR
California(4/30/2019)
RR
Colorado(4/30/2019)
RR
Connecticut(4/30/2019)
RR
Delaware(4/30/2019)
RR
District of Columbia(4/30/2019)
RR
Florida(4/30/2019)
RR
Georgia(4/30/2019)
RR
Hawaii(4/30/2019)
RR
Idaho(4/30/2019)
RR
Illinois(4/30/2019)
RR
Indiana(4/30/2019)
RR
Iowa(4/30/2019)
RR
Kansas(4/30/2019)
RR
Kentucky(4/30/2019)
RR
Louisiana(4/30/2019)
RR
Maine(4/30/2019)
RR
Maryland(4/30/2019)
RR
Massachusetts(4/30/2019)
RR
Michigan(4/30/2019)
RR
Minnesota(4/30/2019)
RR
Mississippi(4/30/2019)
RR
Missouri(4/30/2019)
RR
Montana(4/30/2019)
RR
Nebraska(4/30/2019)
RR
Nevada(4/30/2019)
RR
New Hampshire(4/30/2019)
RR
New Jersey(4/30/2019)
RR
New Mexico(4/30/2019)
RR
New York(4/30/2019)
RR
North Carolina(4/30/2019)
RR
North Dakota(4/30/2019)
RR
Ohio(4/30/2019)
RR
Oklahoma(4/30/2019)
RR
Oregon(4/30/2019)
RR
Pennsylvania(4/30/2019)
RR
Puerto Rico(4/30/2019)
RR
Rhode Island(4/30/2019)
RR
South Carolina(4/30/2019)
RR
South Dakota(4/30/2019)
RR
Tennessee(4/30/2019)
RR
Texas(4/30/2019)
RR
Utah(4/30/2019)
RR
Vermont(4/30/2019)
RR
Virgin Islands(4/30/2019)
RR
Virginia(4/30/2019)
RR
Washington(4/30/2019)
RR
West Virginia(4/30/2019)
RR
Wisconsin(4/30/2019)
RR
Wyoming(4/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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 | |
| 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.
