Niva WealthLet’s talk

Ian Shaw

Chief Compliance Officer at HSBC Global Asset Management (usa)

Investment adviser and broker registrationsSEC record checked 18 October 2026

7
Years in the industry
1
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

Ian Shaw is Chief Compliance Officer of HSBC Global Asset Management (usa) Inc., a New York investment adviser managing $157B. Ian Shaw has 7 years in the industry across 1 firm and has passed 6 licensing exams.

Role at HSBC Global Asset Management (usa)

Title on Schedule A
Chief Compliance Officer
Control
Ian Shaw is a control person of HSBC Global Asset Management (usa).
Ownership
An individual ownership band is not available in the source record.
Tenure
Ian Shaw has held the filed role since November 2024.

The firm

HSBC Global Asset Management (usa) Inc.
New York, NY

Form ADV filed 22 September 2026

$157B AUM95 clients65 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2023
  2. Hsbc Securities (usa) Inc.Current
    – present · 5 years
    New York, NY · Adviser representative · Firm CRD 19585
  3. Passed Series 66 · 2021
  4. Passed Series 24 · 2020
  5. Passed SIE and Series 7TO · 2019

Registrations and exams

Ian Shaw has a current investment-adviser registration in New York and has passed 6 qualifying exams.

New York20 April 2021
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6619 April 2021
Name
Uniform Combined State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2425 November 2020
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 7TO26 September 2019
Name
General Securities Representative Examination
SIE8 March 2019
Name
Securities Industry Essentials Examination

Individual record

Full name
Ian G Shaw
CRD
7051510
Firm
HSBC Global Asset Management (usa) Inc.
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Ian Shaw work?

Ian Shaw has been Chief Compliance Officer of HSBC Global Asset Management (usa) Inc. since November 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 22 September 2026

Is Ian Shaw a financial advisor?

Yes. Ian Shaw has a current investment-adviser registration in New York, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Ian Shaw have?

Ian Shaw has worked in the financial industry for 7 years as of 18 October 2026, counted from 25 September 2019, across 1 adviser firm.

Source: IAPD individual record, checked 18 October 2026

What exams has Ian Shaw passed?

Ian Shaw has passed 6 licensing exams: the SIE, Series 7TO, Series 24, Series 66, Series 14 and Series 99TO. The earliest, the SIE, was passed in March 2019.

Source: IAPD individual record, checked 18 October 2026

Leadership at HSBC Global Asset Management (usa)

Sources

  1. IAPD individual record, CRD 7051510. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of HSBC Global Asset Management (usa) Inc., filed 22 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Ian Shaw or HSBC Global Asset Management (usa) Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.