Sean W. Cutter
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.
Sean William Cutter was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1996. Sean had worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - June 5, 2020
HSBC SECURITIES (USA) INC.
October 1, 2012 - July 21, 2014
J.P. MORGAN SECURITIES LLC
September 30, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 16, 2005 - March 19, 2008
CHASE INVESTMENT SERVICES CORP.
November 12, 2004 - May 25, 2005
TD AMERITRADE, INC.
July 6, 2004 - December 17, 2004
HSBC BROKERAGE (USA) INC.
April 11, 2003 - July 1, 2004
CITICORP INVESTMENT SERVICES
May 21, 2002 - December 20, 2002
SANDS BROTHERS & CO., LTD.
February 7, 2000 - February 7, 2002
BNY MELLON SECURITIES CORPORATION
May 3, 1999 - March 3, 2000
FISERV INVESTOR SERVICES, INC.
October 20, 1997 - January 2, 1998
BNY MELLON SECURITIES CORPORATION
August 8, 1996 - November 5, 1996
ASH FINANCIAL CORP.
March 27, 1996 - September 13, 1996
FIRST NATIONAL EQUITY, 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
Exams
Series 7TO
Date: 2/23/2024
General Securities 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 | |
| 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.
