Dave Lee
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.
Dave Lee, who also goes by David Lee, was a registered financial professional .
Dave is a previously registered financial professional and started their career in finance in 2007. Dave had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2014 - April 23, 2019
HSBC SECURITIES (USA) INC.
May 12, 2014 - April 23, 2019
HSBC SECURITIES (USA) INC.
August 19, 2013 - May 2, 2014
J.P. MORGAN SECURITIES LLC
August 15, 2013 - May 2, 2014
J.P. MORGAN SECURITIES LLC
February 9, 2012 - August 12, 2013
HSBC SECURITIES (USA) INC.
February 9, 2012 - August 12, 2013
HSBC SECURITIES (USA) INC.
February 23, 2011 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2010 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2010 - November 29, 2010
HSBC SECURITIES (USA) INC.
June 9, 2009 - May 14, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2008 - July 7, 2008
CHASE INVESTMENT SERVICES CORP.
March 9, 2007 - December 17, 2007
CHASE INVESTMENT SERVICES CORP.
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.
