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HSBC GLOBAL ASSET MANAGEMENT (USA) INC.

NEW YORK, NY · CRD 105686 · IAPD ↗ · assetmanagement.us.hsbc.com · 212-525-4107

$156.56BRegulatory AUM
65Advisory reps
100Employees
0Clients
0Planning clients
0Private funds
12States
8Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

69
April 2026 — HSBC GLOBAL ASSET MANAGEMENT (USA) INC. grew from 56 to 65 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
April 2025 — HSBC GLOBAL ASSET MANAGEMENT (USA) INC.'s Item 11 disclosure-reporting entries rose by 2 (6 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
37
June 2024 — HSBC GLOBAL ASSET MANAGEMENT (USA) INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.