Jesse M. Oliver
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.
Jesse Matthew Oliver, who also goes by Jesse Oliver, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2004. Jesse had worked at 5 firms and has passed the Series 66, SIE, Series 31 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
August 31, 2015 - May 2, 2016
HSBC SECURITIES (USA) INC.
August 31, 2015 - May 2, 2016
HSBC SECURITIES (USA) INC.
April 17, 2013 - June 5, 2015
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - June 5, 2015
TD PRIVATE CLIENT WEALTH LLC
October 3, 2007 - December 12, 2012
HSBC SECURITIES (USA) INC.
October 3, 2007 - December 12, 2012
HSBC SECURITIES (USA) INC.
February 20, 2007 - July 9, 2007
PNC WEALTH MANAGEMENT LLC
February 20, 2007 - July 9, 2007
PNC WEALTH MANAGEMENT LLC
November 30, 2005 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2005 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2004 - November 23, 2005
MORGAN STANLEY DW INC.
September 15, 2004 - November 23, 2005
MORGAN STANLEY DW INC.
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
Current 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.
