John Henien
Professional Summary
John Henien, who also goes by John Henian, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Tysons, Virginia. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Henian
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Years of Experience
23 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Current Firm
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
Contact Information
Main Address
66 Hudson Boulevard, New York, NY 10001Mailing Address
227 West Monroe Suite 1810, Chicago, IL 60606Phone Number
(224) 880-8555Established
Delaware since 12/31/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
490SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| PECORELLA, ANTHONY | US HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAH, CHINTAN NAYANKUMAR | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6432536 |
| 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
12,108AUM (Assets Under Management)
$3,838,097,569Disclosures
Regulatory Event
87Arbitration
7Accountant 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 |
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
Primary Firm SEC Registration
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
(4/5/2016)
(8/16/2024)
(4/5/2016)
(8/16/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(8/19/2024)
(2/4/2011)
(9/4/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(8/20/2024)
(4/5/2016)
(8/19/2024)
(4/5/2016)
(4/5/2016)
(8/21/2024)
(4/5/2016)
(8/19/2024)
(4/5/2016)
(6/23/2022)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(8/19/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(8/20/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(11/27/2009)
(2/19/2010)
(4/5/2016)
(8/19/2024)
(8/13/2008)
(7/8/2021)
(4/7/2016)
(8/19/2024)
(4/5/2016)
(8/19/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(9/13/2024)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(2/18/2026)
(4/5/2016)
(8/19/2024)
(4/5/2016)
(8/22/2024)
(4/5/2016)
(4/5/2016)
(8/20/2024)
(4/5/2016)
(6/25/2022)
(4/5/2016)
(4/5/2016)
(4/5/2016)
(4/5/2016)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2009About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2008About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view John Henien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Henien's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EVERMAY WEALTH MANAGEMENT, LLC
EAGLE STRATEGIES LLC
