Charles J. Campagna
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.
Charles Joseph Campagna was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2004. Charles had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
December 13, 2012 - October 28, 2014
HSBC SECURITIES (USA) INC.
December 6, 2012 - October 28, 2014
HSBC SECURITIES (USA) INC.
May 18, 2012 - November 13, 2012
INVESTMENT PROFESSIONALS, INC.
March 23, 2012 - November 13, 2012
INVESTMENT PROFESSIONALS, INC.
August 3, 2010 - March 26, 2012
CHASE INVESTMENT SERVICES CORP.
August 3, 2010 - March 26, 2012
CHASE INVESTMENT SERVICES CORP.
June 9, 2009 - July 26, 2010
LPL FINANCIAL LLC
June 9, 2009 - July 26, 2010
LPL FINANCIAL LLC
March 14, 2008 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 14, 2008 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 7, 2006 - February 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2006 - February 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2004 - January 10, 2006
AMERICAN CAPITAL PARTNERS, 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
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.
