HSBC SECURITIES (USA) INC.

66 Husdson Boulevard East
New York, New York 10001
Tel: 212-525-2879

About HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC, formally registered with the SEC as HSBC SECURITIES (USA) INC. The firm was established in 08/30/2005. They have over 63 offices throughout the country.

HSBC SECURITIES (USA) INC. is a New York, New York based Financial Planning firm with nearly $3,020,458,399 assets under management, offering retirement planning & investment advisory services to 12389 clients. The firm is staffed with 507 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	19585
SEC#	801-64563
Assets Managed by Firm	$3,020,458,399
No. of Clients	12389
No. of Advisors	507

Fee Structure

A percentage of AUM
Fixed fees
Performance Based

Advisory Services Provided

Portfolio management for pooled investment vehicles
Portfolio management for businesses or institutional clients
Selection for other advisors
Other (PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL)

Firm Client Information

	No. of Clients	AUM
Firm Total	12389	$3,020,458,399
Individuals (other than high net worth individuals)	11098	$1,962,819,976
High net worth individuals	1230	$937,634,010
Pension and profit sharing plans	11	$8,525,888
Corporations or other businesses	18	$20,886,256

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