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Shiv Chadha

Hsbc Securities (usa) Inc.

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About Shiv Chadha

Shiv Chadha is a financial professional with over 17 years of experience in the industry. Shiv is currently registered with HSBC Securities (USA) Inc. in Miami, Florida. Prior to joining HSBC, Shiv worked at Morgan Stanley & Co. LLC, Oppenheimer & Co. Inc., and J.P. Morgan Securities Inc. Shiv holds multiple licenses and registrations including Series 3, 4, 7, 55, 63, and SIE. Shiv has been active in both the broker-dealer and investment advisor space for their entire career.

Firm Information

Shiv Chadha 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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Shiv Chadha’s Registration & Firm History

FL

04/03/2013 - Present

Hsbc Securities (usa) Inc. (Miami FL)

NY

06/07/2010 - 04/22/2013

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

02/26/2009 - 05/25/2010

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

10/01/2008 - 12/16/2008

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

NY

06/02/2008 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

11/15/2005 - 06/02/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/21/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/04/2020

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/22/2012

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/23/2010

Series 3 - National Commodity Futures Examination

BC

Issued 11/14/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Shiv Chadha.
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