Jody P. Weinberg
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.
Jody Pokross Weinberg, who also goes by Jody Pokross, was a registered financial professional .
Jody is a previously registered financial professional and started their career in finance in 1996. Jody had worked at 10 firms and has passed the Series 65, Series 63 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
June 7, 2013 - December 11, 2013
HSBC SECURITIES (USA) INC.
June 3, 2013 - December 11, 2013
HSBC SECURITIES (USA) INC.
August 9, 2010 - April 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2010 - April 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2007 - March 3, 2009
WAMU INVESTMENTS, INC.
August 28, 2007 - March 3, 2009
WAMU INVESTMENTS, INC.
June 6, 2005 - April 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 8, 2003 - March 14, 2005
CHASE INVESTMENT SERVICES CORP.
January 16, 2002 - March 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2000 - August 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 21, 1997 - January 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1996 - March 6, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
July 26, 1996 - October 30, 1996
MEYERS POLLOCK ROBBINS, INC.
May 2, 1996 - August 6, 1996
MONITOR INVESTMENT GROUP, 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
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 | |
| 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.
