JH
Joseph A. Herrmann
HSBC SECURITIES (USA)
New York, NY 10001
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CRD#: 5470463
JH
Professional summary
Joseph A. Herrmann, who also goes by Joseph A Herrmann, Joseph A. Herrmann, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph A Herrmann | Joseph A. Herrmann
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 name of the other business - Seton Hall University's Transformative Leadership Certificate Program Whether the business is investment-related - Not Business or Investment Related The address of the other business - Stillman School of Business Seton Hall University, 400 South Orange Ave, South Orange, NJ 07079 The nature of the other business - To provide guidance on a Certificate Program Your Position - Advisory Board Member Title - Advisory Board Member Relationship with the other business - I was asked to join the Advisory Board after working on a similar Pace University The start date of your relationship - Feb 2022 The approximate number of hours/month you devote to the other business - approx. 3-4 hours annually. The number of hours you devote to the other business during securities trading hours - None Briefly describe your duties relating to the other business - Advisory Board Member, meetings are held bi-annually to discuss the program and any changes to be made in the course and discuss trends in leadership.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph A. Herrmann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph A. Herrmann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 15, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard 34th Floor, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Current
March 15, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210RIA
BD
CRD#: 19585
Buffalo, NY
Past
December 2, 2022 - February 23, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW YORK, NY
Past
October 20, 2022 - February 23, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
January 9, 2018 - July 28, 2022
GILDER GAGNON HOWE & CO. LLC
RIA
CRD#: 2002
NEW YORK, NY
Past
January 8, 2018 - July 28, 2022
GILDER GAGNON HOWE & CO. LLC
BD
CRD#: 2002
NEW YORK, NY
Past
January 7, 2015 - January 5, 2018
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
NEW YORK, NY
Past
January 6, 2015 - January 5, 2018
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
Past
December 1, 2010 - May 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 16, 2010 - May 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 28, 2008 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
GARDEN CITY, 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".
HS
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)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/15/2024)
RR
Alaska(3/15/2024)
RR
Arizona(3/15/2024)
RR
Arkansas(3/15/2024)
RR
California(3/15/2024)
RR
Colorado(3/15/2024)
RR
Connecticut(3/15/2024)
RR
Delaware(3/15/2024)
RR
District of Columbia(3/15/2024)
RR
Florida(3/15/2024)
RR
Georgia(3/15/2024)
RR
Hawaii(3/15/2024)
RR
Idaho(3/15/2024)
RR
Illinois(3/15/2024)
RR
Indiana(3/15/2024)
RR
Iowa(3/15/2024)
RR
Kansas(3/15/2024)
RR
Kentucky(3/15/2024)
RR
Louisiana(3/15/2024)
RR
Maine(3/15/2024)
RR
Maryland(3/15/2024)
RR
Massachusetts(3/15/2024)
RR
Michigan(3/15/2024)
RR
Minnesota(3/15/2024)
RR
Mississippi(3/15/2024)
RR
Missouri(3/15/2024)
RR
Montana(3/15/2024)
RR
Nebraska(3/15/2024)
RR
Nevada(3/15/2024)
RR
New Hampshire(3/15/2024)
RR
New Jersey(3/15/2024)
RR
New Mexico(3/15/2024)
RR
New York(3/15/2024)
IAR
New York(3/15/2024)
RR
North Carolina(3/15/2024)
RR
North Dakota(3/15/2024)
RR
Ohio(3/18/2024)
RR
Oklahoma(3/15/2024)
RR
Oregon(3/15/2024)
RR
Pennsylvania(3/15/2024)
RR
Puerto Rico(3/15/2024)
RR
Rhode Island(3/15/2024)
RR
South Carolina(3/15/2024)
RR
South Dakota(3/15/2024)
RR
Tennessee(3/15/2024)
RR
Texas(3/15/2024)
RR
Utah(3/15/2024)
RR
Vermont(3/15/2024)
RR
Virgin Islands(3/15/2024)
RR
Virginia(3/15/2024)
RR
Washington(3/15/2024)
RR
West Virginia(3/15/2024)
RR
Wisconsin(3/15/2024)
RR
Wyoming(3/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/8/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HS
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)BD
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
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.
