HSBC GLOBAL ASSET MANAGEMENT (USA) INC.
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HSBC GLOBAL ASSET MANAGEMENT (USA) INC.
(CRD# 105686)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Dec 1985.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$75.2 Billion,
with discretion over
91%
of those assets.
Pooled investment vehicles (Private Funds) account for
65%
of RAUM.
Non-US investors represent
80%
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HSBC GLOBAL ASSET MANAGEMENT (USA) INC.
also reported in
Mar 2019
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142
employees,
with
76
performing advisory functions.
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A total of 4 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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HSBC GLOBAL ASSET MANAGEMENT (USA) INC. has one or more disclosure events currently on file with the SEC.
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HSBC GLOBAL ASSET MANAGEMENT (USA) INC. has Notice Filings with the following State Securities Authorities: AK-Jun 2006, AL-Jun 2006, AR-Jun 2006, AZ-Jun 2006, CA-Jun 2006
, CO-Jun 2006, CT-Aug 2005, DC-Jun 2006, DE-Jul 2006, FL-Jun 2006
, GA-Jun 2006, HI-Jun 2006, IA-Jun 2006, ID-Jun 2006, IL-Jun 2006
, IN-Jun 2006, KS-Jun 2006, KY-Jun 2006, LA-Jul 2006, MA-Jun 2006
, MD-Jun 2006, ME-Jun 2006, MI-Jun 2006, MN-Jul 2006, MO-Jun 2006
, MS-Jun 2006, MT-Jun 2006, NC-Jun 2006, ND-Jun 2006, NE-Apr 2005
, NH-Jun 2006, NJ-Jul 2006, NM-Jun 2006, NV-Jun 2006, NY-May 2002
, OH-Jun 2006, OK-Jun 2006, OR-Jun 2006, PA-Jun 2006, PR-May 2009
, RI-Jun 2006, SC-Jun 2006, SD-Jun 2006, TN-Jun 2006, TX-Jul 2011
, UT-Jun 2006, VA-Jun 2006, VI-Mar 2010, VT-Jun 2006, WA-Jun 2006
, WI-Jun 2006, WV-Jun 2006, WY-Mar 2018
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
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