Dorothea C. Kelly

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CRD#: 4980410

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.

Dorothea Crane Kelly, who also goes by Dorothea Anne Crane, Dorothea Anne Kiernan, was a registered financial professional .

Dorothea is a previously registered financial professional and started their career in finance in 2005. Dorothea had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dorothea Anne Crane | Dorothea Anne Kiernan

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 2, 2016 - August 2, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

BRONXVILLE, NY

Past

September 15, 2011 - December 31, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ARMONK, NY

Past

December 20, 2010 - August 2, 2011

LPL FINANCIAL LLC

CRD#: 6413

HYANNIS, MA

Past

July 31, 2007 - July 28, 2010

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEWTON, MA

Past

April 30, 2007 - June 19, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HYANNIS, MA

Past

April 30, 2007 - June 19, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HYANNIS, MA

Past

September 13, 2006 - September 21, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HYANNIS, MA

Past

July 28, 2006 - May 10, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HYANNIS, MA

Past

June 24, 2005 - July 25, 2006

CITICORP INVESTMENT SERVICES

CRD#: 23988

SCARSDALE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HSBC SECURITIES (USA) INC.

CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.

CRD#: 19585 / SEC#: 801-64563, 8-41562

RIA

Registered Investment Advisory firm - SEC (8/30/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/1/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/2009

General Securities Principal Examination

Current Firm

HSBC SECURITIES (USA) INC.

CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.

CRD#: 19585 / SEC#: 801-64563, 8-41562

RIA

Registered Investment Advisory firm - SEC (8/30/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

66 Hudson Boulevard, New York, NY 10001

Mailing Address

227 West Monroe Suite 1810, Chicago, IL 60606

Phone number

(224) 880-8555

Established

Delaware since 12/31/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

473

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC PRISM ADVISORY (10/16/2025)

HSBC SECURITIES (USA) INC. (9/15/2025)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (6/16/2025)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (3/28/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Dorothea C. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2006

Series 63

Date: 7/1/2005

SIE

Date: 8/2/2016

Series 7

Date: 8/28/2006

Series 6

Date: 6/23/2005

Series 24

Date: 10/15/2009

Current Firm

HSBC SECURITIES (USA) INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

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