MM
Mark Misch
HSBC SECURITIES (USA)
CHICAGO, IL 60606
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CRD#: 6258306
MM
Mark MischHSBC SECURITIES (USA)
Professional summary
Mark Misch, who also goes by Mark Anthony Misch, is a registered financial professional currently at HSBC SECURITIES (USA) INC. located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2026. Mark has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Aliases
Mark Anthony Misch
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Misch'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
June 18, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 227 W. Monroe Street 18th Floor, Chicago, IL 60606RIA
BD
CRD#: 19585
CHICAGO, IL
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
Alabama(8/17/2026)
RR
Alaska(8/26/2026)
RR
Arizona(8/20/2026)
RR
Arkansas(8/13/2026)
RR
California(8/11/2026)
RR
Colorado(8/31/2026)
RR
Connecticut(8/13/2026)
RR
Delaware(8/13/2026)
RR
District of Columbia(8/26/2026)
RR
Florida(6/19/2026)
RR
Georgia(8/11/2026)
RR
Hawaii(9/2/2026)
RR
Idaho(8/11/2026)
RR
Illinois(8/12/2026)
RR
Indiana(8/12/2026)
RR
Iowa(8/13/2026)
RR
Kansas(8/12/2026)
RR
Kentucky(8/12/2026)
RR
Louisiana(8/13/2026)
RR
Maine(8/13/2026)
RR
Maryland(8/14/2026)
RR
Massachusetts(8/11/2026)
RR
Michigan(8/14/2026)
RR
Minnesota(8/12/2026)
RR
Mississippi(8/19/2026)
RR
Missouri(8/18/2026)
RR
Montana(8/13/2026)
RR
Nebraska(8/11/2026)
RR
Nevada(8/12/2026)
RR
New Hampshire(8/19/2026)
RR
New Jersey(8/17/2026)
RR
New Mexico(8/13/2026)
RR
New York(8/26/2026)
RR
North Carolina(8/13/2026)
RR
North Dakota(8/18/2026)
RR
Ohio(8/11/2026)
RR
Oklahoma(8/12/2026)
RR
Oregon(8/13/2026)
RR
Pennsylvania(8/11/2026)
RR
Puerto Rico(8/20/2026)
RR
Rhode Island(8/13/2026)
RR
South Carolina(8/17/2026)
RR
South Dakota(8/13/2026)
RR
Tennessee(8/13/2026)
RR
Texas(8/11/2026)
RR
Utah(8/11/2026)
RR
Vermont(8/13/2026)
RR
Virgin Islands(8/14/2026)
RR
Virginia(8/12/2026)
RR
Washington(8/13/2026)
RR
West Virginia(8/17/2026)
RR
Wisconsin(8/11/2026)
RR
Wyoming(8/12/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Passed: 6/17/2026
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
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)
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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
490
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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PECORELLA, ANTHONY | US HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAH, CHINTAN NAYANKUMAR | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6432536 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,108 |
| AUM (Assets Under Management) | $ 3,838,097,569 |
Disclosures
| Regulatory Event | 87 |
| 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Chicago, IL 60606TRUST BUT VERIFY
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