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Michael Ralph Winter

Hsbc Securities (usa) Inc.

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About Michael Ralph Winter

Michael Winter is a financial advisor at HSBC Securities (USA) Inc. Michael has over 20 years of experience in the financial services industry. Michael is registered to provide investment advice in New Jersey and New York. Michael has a strong background in securities, investments and retirement planning. Michael specializes in working with high-net-worth individuals, corporations, and pooled investment vehicles. Michael provides asset allocation recommendations and based upon those recommendations, connects clients with third-party advisors to manage assets pursuant to client approval. Michael is committed to providing personalized financial advice and helping clients achieve their financial goals.

Firm Information

Michael Winter is currently registered with Hsbc Securities (usa) Inc.. HSBC Securities (USA) Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm provides a range of advisory services, including asset allocation recommendations, selection of other advisers, portfolio management for businesses and pooled investment vehicles. They manage over $50 billion in assets for a diverse clientele including individuals, corporations, and investment companies. The firm has a large team of licensed agents, investment adviser representatives, and registered representatives. They also hold registrations in all 50 states, District of Columbia, Puerto Rico, and Virgin Islands.
Hsbc Securities (usa) Inc.

66 HUSDSON BOULEVARD EAST

NEW YORK, NY 10001

$3.02B

Assets Under Management

Not reported

Total Clients

524

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Michael Winter’s Registration & Firm History

NY

01/07/2025 - Present

Hsbc Securities (usa) Inc. (Buffalo NY)

NH

11/13/2023 - 12/20/2023

VALIC FINANCIAL ADVISORS, INC. (NASHUA NH)

NY

05/04/2022 - 11/21/2023

HSBC SECURITIES (USA) INC. (Amherst NY)

NY

02/15/2022 - 04/21/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WILLIAMSVILLE NY)

NY

07/16/2007 - 04/21/2021

HSBC SECURITIES (USA) INC. (DEPEW NY)

OH

10/30/2003 - 09/01/2005

MCDONALD INVESTMENTS INC. (CLEVELAND OH)

MD

02/09/2000 - 08/12/2003

M&T SECURITIES, INC. (BALTIMORE MD)

MO

09/10/1997 - 09/29/1998

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NY

11/17/1995 - 09/24/1997

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 12/14/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/12/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2003

Series 4 - Registered Options Principal Examination

BC

Issued 07/03/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/1995

Series 31 - Futures Managed Funds Examination

BC

Issued 11/16/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Ralph Winter.
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