William D. Paine
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.
William Duncan Paine, who also goes by Bill Paine, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 3 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 19, 2000 - February 27, 2003
HSBC BROKERAGE (USA) INC.
March 4, 1998 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
May 1, 1997 - September 22, 1997
CITIGROUP GLOBAL MARKETS INC.
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 BROKERAGE (USA) INC.
CRD#: 6956 / SEC#: , 8-19814
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA) INC. | 100% SHAREHOLDER | |
| BENAK, MARVIN | SALES DIRECTOR | 3179319 |
| COON, DAVID BRUCE | HEAD OF SALES INFRASTRUCTURE | 720493 |
| ESPOSITO, RAYMOND | SALES DIRECTOR | 2271775 |
| FUREY III, THOMAS JOSEPH | DIRECTOR, CHIEF TRADING OFFICER | 4383891 |
| GALLINO, JOSEPH ANTHONY | ASSISTANT SECRETARY & CHIEF COMPLIANCE OFFICER | 1076376 |
| MCDONAGH, BRENDAN PAUL | DIRECTOR, CHAIRMAN | |
| MURNANE, JEREMIAH THOMAS | DIRECTOR | |
| PLIS, DANIEL JOSEPH | SALES DIRECTOR | 1316128 |
| SAMANIEGO, FABIAN ANABAL JR | DIRECTOR, COO & CFO | 1195996 |
| SCORDATO, DAVID VINCENT | SALES DIRECTOR | 1641185 |
| TUNG, GEA | SECRETARY | 2320421 |
| WEBSTER, GREGORY HAROLD | DIRECTOR, CEO & FIRM PRINCIPAL | 1494389 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
