Daniel J. Anniello
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.
Daniel Joseph Anniello was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10, Series 9 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2009 - July 31, 2023
HSBC SECURITIES (USA) INC.
January 9, 2009 - July 31, 2023
HSBC SECURITIES (USA) INC.
September 12, 2007 - January 30, 2009
FORESIDE DISTRIBUTION SERVICES, L.P.
September 6, 2006 - June 18, 2007
GUGGENHEIM INVESTMENTS
September 5, 2006 - June 18, 2007
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
January 1, 2005 - August 31, 2006
JPMORGAN DISTRIBUTION SERVICES, INC.
November 1, 2002 - September 9, 2003
ROBERT FLEMING INC.
October 24, 2002 - September 14, 2006
J.P. MORGAN INVESTMENT MANAGEMENT INC.
June 15, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
February 6, 2001 - May 1, 2001
JPMSI
June 28, 1996 - March 28, 1997
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional 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.
