Marta V. Plampin
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.
Marta V Plampin, who also goes by Marta VIoletta Plampin, Marta Plampin, Marta Siepsiak, was a registered financial professional .
Marta is a previously registered financial professional and started their career in finance in 2000. Marta had worked at 7 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2019 - July 3, 2020
HSBC SECURITIES (USA) INC.
October 1, 2012 - April 29, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 29, 2015
J.P. MORGAN SECURITIES LLC
November 24, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 24, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 16, 2009 - October 20, 2010
VALIC FINANCIAL ADVISORS, INC.
March 16, 2009 - October 20, 2010
VALIC FINANCIAL ADVISORS, INC.
September 2, 2005 - March 17, 2009
UBS FINANCIAL SERVICES INC.
September 2, 2005 - March 17, 2009
UBS FINANCIAL SERVICES INC.
September 29, 2000 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2000 - September 7, 2005
IDS LIFE INSURANCE COMPANY
August 17, 2000 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, 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 6TO
Date: 6/28/2019
Investment Company Products/Variable Contracts 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.
