AM
Arturo Montemayor
HSBC SECURITIES (USA)
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 5498377
AM
Professional summary
Arturo Montemayor, who also goes by Arturo Montemayor Gruszca, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Miami, Florida.
Arturo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Arturo has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arturo Montemayor Gruszca
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; Rental property whether the business is investment-related; No the address of the other business; Urbanizacion La Alzambra, Edificio Vasari Center, Milan 2, Marbella, Spain. 29660 the nature of the other business; Rental Property your position; Owner title, or relationship with the other business; Owner the start date of your relationship; November 9, 2015 the approximate number of hours/month you devote to the other business; Zero the number of hours you devote to the other business during securities trading hours; Zero and briefly describe your duties relating to the other business; Giving for rent
CRS (Client Relationship Summary) - RIA
Click below to view Arturo Montemayor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arturo Montemayor'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
February 5, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue, 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
MIAMI, FL
Current
February 4, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1441 Brickell Avenue, 16th Floor, Miami, FL 33131RIA
BD
CRD#: 19585
MIAMI, FL
Past
September 20, 2021 - January 23, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
September 17, 2021 - January 23, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
May 18, 2020 - May 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
May 18, 2020 - May 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
October 23, 2018 - February 21, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Miami, FL
Past
March 6, 2017 - September 13, 2018
MORGAN STANLEY
RIA
CRD#: 149777
MIAMI, FL
Past
March 3, 2017 - September 13, 2018
MORGAN STANLEY
BD
CRD#: 149777
MIAMI, FL
Past
December 14, 2009 - March 14, 2017
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
MIAMI, FL
Past
December 18, 2008 - March 14, 2017
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
MIAMI, FL
Past
September 28, 2001 - April 6, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND 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
California(6/30/2025)
RR
Connecticut(6/30/2025)
RR
Delaware(6/30/2025)
RR
District of Columbia(6/30/2025)
RR
Florida(2/4/2025)
IAR
Florida(2/5/2025)
RR
Illinois(6/30/2025)
RR
New Jersey(6/30/2025)
RR
New York(2/4/2025)
RR
North Carolina(6/30/2025)
RR
Pennsylvania(6/30/2025)
RR
Puerto Rico(6/30/2025)
RR
South Dakota(6/30/2025)
RR
Texas(6/30/2025)
IAR
Texas(11/4/2025)
RR
Washington(6/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Miami, FL 33131TRUST BUT VERIFY
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