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Detailed Report
JOHN PATRICK SULIT
CRD#: 4212805
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 1572 UNION TPKE
NEW HYDE PARK, NY 11040
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (<1 year)2 FIRMS2006 - Present (19 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2001 - 2006 (4 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2002 - 2006 (3 years)
Disclosure(s)
View By:
8/23/2024
Financial
Pending
5/22/2024
Judgment / Lien
License(s)

State Registrations

B
Alabama 11/10/2023
B
Nevada 11/10/2023
B
Alaska 11/10/2023
B
New Hampshire 11/10/2023
B
Arizona 11/10/2023
B
New Jersey 1/31/2006
B
Arkansas 11/10/2023
IA
New Jersey 1/31/2006
B
California 11/10/2023
B
New Mexico 11/10/2023
B
Colorado 11/10/2023
B
New York 1/31/2006
B
Connecticut 1/31/2006
IA
New York 7/8/2021
B
Delaware 1/31/2006
B
North Carolina 11/10/2023
B
District of Columbia 11/10/2023
B
North Dakota 11/10/2023
B
Florida 1/31/2006
B
Ohio 11/11/2023
B
Georgia 11/10/2023
B
Oklahoma 11/10/2023
B
Hawaii 11/10/2023
B
Oregon 11/10/2023
B
Idaho 11/10/2023
B
Pennsylvania 11/10/2023
B
Illinois 11/10/2023
B
Puerto Rico 11/10/2023
B
Indiana 11/10/2023
B
Rhode Island 11/10/2023
B
Iowa 11/10/2023
B
South Carolina 11/10/2023
B
Kansas 11/10/2023
B
South Dakota 11/10/2023
B
Kentucky 11/10/2023
B
Tennessee 11/10/2023
B
Louisiana 11/10/2023
B
Texas 11/10/2023
B
Maine 11/10/2023
B
Utah 11/10/2023
B
Maryland 11/10/2023
B
Vermont 11/10/2023
B
Massachusetts 11/10/2023
B
Virgin Islands 11/10/2023
B
Michigan 11/10/2023
B
Virginia 1/31/2006
B
Minnesota 11/10/2023
B
Washington 11/10/2023
B
Mississippi 11/10/2023
B
West Virginia 11/10/2023
B
Missouri 11/10/2023
B
Wisconsin 11/10/2023
B
Montana 11/10/2023
B
Wyoming 11/10/2023
B
Nebraska 11/10/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HSBC SECURITIES (USA) INC. (CRD#:19585)
1572 UNION TPKE, NEW HYDE PARK, NY 11040
Mahopac, NY
Registered with this firm since 1/31/2006
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
1572 UNION TPKE, NEW HYDE PARK, NY 11040
Mahopac, NY
Registered with this firm since 1/31/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/11/2002 - 01/11/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BROOKLYN, NY
B
 04/02/2001 - 01/11/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
 09/25/2000 - 02/22/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 09/25/2000 - 02/22/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.