David W. Barth

HSBC SECURITIES (USA)

NEW YORK, NY 10001

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CRD#: 2718555

Professional summary

David Wayne Barth, who also goes by David Wayne Barth, David Barth, is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Wayne Barth | David Barth

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Barth's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 6, 2018 - Present

HSBC SECURITIES (USA) INC.

Office #1: 66 Hudson Boulevard Floors 3 4, 5, 30, And Suites 2406, 2407, New York, NY, 10001

RIA

CRD#: 19585

NEW YORK, NY

Past

June 29, 1998 - November 17, 2015

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

January 9, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

April 16, 1996 - September 29, 1997

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

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)

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.

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

Alabama
(2/28/2019)

Alaska
(3/4/2019)

Arizona
(2/28/2019)

Arkansas
(3/1/2019)

California
(2/28/2019)

Colorado
(3/1/2019)

Connecticut
(2/28/2019)

Delaware
(3/15/2019)

District of Columbia
(3/1/2019)

Florida
(3/1/2019)

Georgia
(3/1/2019)

Hawaii
(3/1/2019)

Idaho
(2/28/2019)

Illinois
(5/1/2019)

Indiana
(3/1/2019)

Iowa
(2/28/2019)

Kansas
(3/28/2019)

Kentucky
(2/28/2019)

Louisiana
(3/1/2019)

Maine
(2/28/2019)

Maryland
(3/4/2019)

Massachusetts
(3/1/2019)

Michigan
(3/5/2019)

Minnesota
(3/1/2019)

Mississippi
(3/1/2019)

Missouri
(3/1/2019)

Montana
(2/28/2019)

Nebraska
(3/11/2019)

Nevada
(3/14/2019)

New Hampshire
(3/1/2019)

New Jersey
(1/16/2020)

New Mexico
(2/28/2019)

New York
(8/14/2018)

North Carolina
(2/28/2019)

North Dakota
(3/1/2019)

Ohio
(2/28/2019)

Oklahoma
(2/28/2019)

Oregon
(3/6/2019)

Pennsylvania
(3/5/2019)

Puerto Rico
(3/6/2019)

Rhode Island
(3/1/2019)

South Carolina
(3/4/2019)

South Dakota
(3/4/2019)

Tennessee
(3/4/2019)

Texas
(3/19/2019)

Utah
(2/28/2019)

Vermont
(2/28/2019)

Virgin Islands
(3/6/2019)

Virginia
(2/28/2019)

Washington
(3/1/2019)

West Virginia
(3/11/2019)

Wisconsin
(3/1/2019)

Wyoming
(2/28/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/10/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2023

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC PRISM ADVISORY (10/16/2025)

HSBC SECURITIES (USA) INC. (9/15/2025)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (6/16/2025)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (3/28/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Firm Stability Insights

David W. Barth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Barth's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1996

Series 24

Date: 11/1/2023

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.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

TRUST BUT VERIFY

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