SA
Syedmuhammad H. Ali
HSBC SECURITIES (USA)
New Hyde Park, NY 11040
Some features on this profile are disabled
CRD#: 7189592
SA
Professional summary
Syedmuhammad Hammad Ali, who also goes by Syed Muhammad Ali, Syed Muhammad Hammad Ali, Syed Muhammad Hammad Ali, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New Hyde Park, New York.
Syedmuhammad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Syedmuhammad has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Syed Muhammad Ali | Syed Muhammad Hammad Ali | Syed Muhammad Hammad Ali
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.
I also get a $50 paycheck every two weeks from my dad's business for helping him with paperwork. He owns a Smoke shop, the corporation's name is Shahdaula Trading Inc. It is not an hourly role, I am paid $50 gross salary bi-weekly, its nominal amount for tax purposes for the business as My Dad's CPA had recommended that anyone working or helping in the business, should get a salary even if it is $50 bi-weekly. The corporation is solely owned by my father. I don't have any ownership rights in the corporation. I am not obligated to work certain hours per week as paperwork could be finished in 15 minutes or 30 minutes and sometimes, I only have to do paperwork twice a month. I do the paperwork for my father on Sundays when its needed, I also have an Uber driver account which I don't use anymore. I*136370 For profit or not for profit: For-Profit Organization Name of outside business organization: Shahdaula Trading Inc DBA High Times Vape Investment related: N Address of business: Patchogue, New York 11772 Nature of business: Family Business, Position, title, association: Other, I am not part-time, just help my father Start date of relationship: 8/31/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: My father owns Vape shop. I help him with the store's paperwork to pay bills for the business. As recommended by the accountant that if anyone is helping with the business, he/she should be paid, I get paid $50 bi-weekly from the business. Continued
CRS (Client Relationship Summary) - RIA
Click below to view Syedmuhammad Hammad Ali's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Syedmuhammad Hammad Ali'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 6, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1572 Union Tpke, New Hyde Park, NY 11040RIA
BD
CRD#: 19585
New Hyde Park, NY
Current
February 6, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1572 Union Tpke, New Hyde Park, NY 11040RIA
BD
CRD#: 19585
New Hyde Park, NY
Past
July 12, 2022 - January 10, 2025
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Amityville, NY
Past
July 12, 2022 - January 10, 2025
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Amityville, NY
Past
January 13, 2022 - July 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ISLIP, NY
Past
January 13, 2022 - July 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ISLIP, NY
Past
March 15, 2021 - July 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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
Connecticut(2/6/2025)
IAR
Connecticut(2/7/2025)
RR
New Jersey(2/6/2025)
IAR
New Jersey(2/6/2025)
RR
New Mexico(6/3/2025)
IAR
New Mexico(6/4/2025)
RR
New York(2/6/2025)
IAR
New York(2/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2021
General Securities Representative ExaminationGeneral 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.
