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MP

Michael Ponti Jr

HSBC SECURITIES (USA)
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 6084787
MP

Professional summary

Michael Ponti Jr Jr., who also goes by Michael C Ponti Jr, Michael C Ponti, Michael Clifford Ponti Jr, Michael Clifford Ponti, Michael Ponti Jr, Mike Ponti, Michael Pontijr, Michael Ponti Jr., Michael Ponti, Michael Ponti Jr., is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in Miami, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael C Ponti Jr | Michael C Ponti | Michael Clifford Ponti Jr | Michael Clifford Ponti | Michael Ponti Jr | Mike Ponti | Michael Pontijr | Michael Ponti Jr. | Michael Ponti | Michael Ponti Jr.

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) - BD

Click below to view Michael Ponti Jr Jr.'s CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 4, 2026 - Present

HSBC SECURITIES (USA) INC.

Office #1: 1441 Brickell Avenue 16th Floor, Miami, FL 33131
RIA
BD
CRD#: 19585
MIAMI, FL
Past

February 2, 2016 - January 12, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
Boca Raton, FL
Past

January 28, 2016 - January 12, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WEST PALM BEACH, FL
Past

February 23, 2015 - January 13, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
JUPITER, FL
Past

February 16, 2015 - January 13, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
JUPITER, FL
Past

March 10, 2014 - January 28, 2015

MORGAN STANLEY

RIA
CRD#: 149777
STUART, FL
Past

February 20, 2014 - January 28, 2015

MORGAN STANLEY

BD
CRD#: 149777
STUART, FL
Past

October 1, 2012 - January 15, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PALM BEACH GARDENS, FL
Past

July 11, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PALM BEACH GARDENS, FL

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.

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
Colorado
(5/4/2026)
RR
Connecticut
(5/5/2026)
RR
District of Columbia
(5/4/2026)
RR
Florida
(5/4/2026)
RR
Idaho
(5/5/2026)
RR
Louisiana
(5/4/2026)
RR
Maryland
(5/4/2026)
RR
Puerto Rico
(5/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/7/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/4/2026
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/8/2015
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

HSBC SECURITIES (USA) INC. (1/21/2026)
MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (1/21/2026)
HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (1/16/2026)
HSBC PRISM ADVISORY (10/16/2025)

Direct owners and executive officers

NamePositionCRD#
HSBC MARKETS (USA), INC.PARENT
BUSCAGLIA, SARA FAYEDIRECTOR4884059
GOODWIN, CARY LONGSTRETHPRESIDENT/CEO/DIRECTOR3092972
MEHTA, ORESTA IDIRECTOR7056066
NATALE, DUSTINCHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE5581428
PALOMAKI, DANIEL SINTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER6817317
PECORELLA, ANTHONYINTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER1948919
SHAW, IAN GMANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA7051510
WIRGIN, MICHAEL KGENERAL COUNSEL7050015

Regulatory assets under management

Total Number of Accounts12,180
AUM (Assets Under Management)$ 3,232,551,904

Disclosures

Regulatory Event87
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

HSBC SECURITIES (USA) INC.

CRD#: 19585Miami, FL 33131

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