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Investment Adviser Firm Summary

HSBC SECURITIES (USA) INC. (CRD# 19585 / SEC# 8-41562, 801-64563)
Alternate Names: CARROLL MCENTEE & MCGINLEY INCORPORATED , HSBC SECURITIES (USA) INC. , HSBC SECURITIES, INC. , INVESTDIRECT

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/30/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/30/2006
Alaska 07/07/2006
Arizona 06/30/2006
Arkansas 07/05/2006
California 08/30/2005
Colorado 06/30/2006
Connecticut 06/30/2006
Delaware 08/30/2005
District of Columbia 08/30/2005
Florida 09/01/2005
Georgia 06/30/2006
Hawaii 06/30/2006
Idaho 06/30/2006
Illinois 07/05/2006
Indiana 06/30/2006
Iowa 07/03/2006
Kansas 06/30/2006
Kentucky 06/30/2006
Louisiana 06/30/2006
Maine 06/30/2006
Maryland 06/30/2006
Massachusetts 06/30/2006
Michigan 06/30/2006
Minnesota 07/17/2006
Mississippi 06/30/2006
Missouri 06/30/2006
Montana 06/30/2006
Nebraska 06/30/2006
Nevada 06/30/2006
New Hampshire 06/30/2006
New Jersey 08/31/2005
New Mexico 06/30/2006
New York 08/30/2005
North Carolina 06/30/2006
North Dakota 06/30/2006
Ohio 06/30/2006
Oklahoma 06/30/2006
Oregon 06/30/2006
Pennsylvania 08/30/2005
Puerto Rico 06/30/2006
Rhode Island 06/30/2006
South Carolina 06/30/2006
South Dakota 07/03/2006
Tennessee 07/03/2006
Texas 06/30/2006
Utah 06/30/2006
Vermont 06/30/2006
Virgin Islands 12/07/2010
Virginia 06/30/2006
Washington 06/30/2006
West Virginia 06/30/2006
Wisconsin 06/30/2006

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser