Keith Frederick Smith
Professional Summary
Keith Frederick Smith is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Buffalo, New York. Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Keith has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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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 |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
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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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2006About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2013About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2013About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Keith Frederick Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Frederick Smith's CRS (Customer Relationship Summary).
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