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Richard John Rizzo

Hsbc Securities (usa) Inc.

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About Richard John Rizzo

Richard Rizzo is a financial professional with over 20 years of experience in the industry. Richard is currently registered with HSBC Securities (USA) Inc. and is licensed in all 50 states and the District of Columbia. Previously, Richard worked at Capital One Securities, Inc., BTMU Securities, Inc., Fifth Third Securities, Inc., Wells Fargo Advisors, LLC, Citigroup Global Markets Inc., Wachovia Capital Markets, LLC, and First Union Capital Markets Corp. Richard holds the Series 7, Series 79, and Series 63 licenses, as well as the Securities Industry Essentials (SIE) Exam.

Firm Information

Richard Rizzo 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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Richard Rizzo’s Registration & Firm History

PA

04/30/2019 - Present

Hsbc Securities (usa) Inc. (RADNOR PA)

LA

05/04/2017 - 07/26/2018

CAPITAL ONE SECURITIES, INC. (NEW ORLEANS LA)

NY

03/10/2016 - 09/30/2016

BTMU SECURITIES, INC. (New York NY)

OH

08/22/2012 - 10/04/2012

FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)

PA

03/24/2009 - 07/20/2011

WELLS FARGO ADVISORS, LLC (RADNOR PA)

NY

02/12/2008 - 06/02/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NC

07/01/2003 - 05/17/2004

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

10/01/1999 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

02/02/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NC

08/11/1995 - 02/02/1998

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 04/22/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2016

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 08/10/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard John Rizzo.
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