Role at HSBC Global Asset Management (usa)
- Title on Schedule A
- Chairperson, Director
- Control
- Racquel Oden is a control person of HSBC Global Asset Management (usa).
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Racquel Oden has held the filed role since April 2024.
The firm
Form ADV filed 22 September 2026
Career on record
- Hsbc Securities (usa) Inc.Current– present · 3 yearsSag Harbor, NY · Adviser representative and broker · Firm CRD 19585
- Passed SIE · 2018
- J.p. Morgan Securities LLC– · 6 yearsNew York, NY · Adviser representative · Firm CRD 79
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearNew York, NY · Adviser representative · Firm CRD 7691
- Passed Series 10, Series 9 and Series 66 · 2017
- Passed Series 7 and Series 24 · 2009
Registrations and exams
Racquel Oden has a current investment-adviser registration in New Jersey and New York and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| New Jersey | Investment adviser representative | Approved | 11 December 2023 |
| New York | Investment adviser representative | Approved | 11 December 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 May 2017 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 11 April 2017 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 3 February 2017 |
| Series 24 | General Securities Principal Examination | 14 October 2009 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 24 June 2009 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Racquel N Oden
- CRD
- 2924699
- 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 Racquel Oden work?
Racquel Oden has been Chairperson, Director of HSBC Global Asset Management (usa) Inc. since April 2024, and is a control person of the firm.
Is Racquel Oden a financial advisor?
Yes. Racquel Oden has a current investment-adviser registration in New Jersey and New York, as of 17 October 2026.
How many years of experience does Racquel Oden have?
Racquel Oden has worked in the financial industry for 16 years as of 17 October 2026, counted from 8 October 2010, across 3 adviser firms.
What exams has Racquel Oden passed?
Racquel Oden has passed 6 licensing exams: the Series 7, Series 24, Series 10, Series 9, Series 66 and SIE. The earliest, the Series 7, was passed in June 2009.
Where was Racquel Oden previously registered as an investment adviser?
Racquel Oden has past investment-adviser registrations through J.p. Morgan Securities LLC, March 2018 to November 2023; Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 2017 to March 2018, across 3 firms.
Leadership at HSBC Global Asset Management (usa)
- Dominic SkevingtonChief Executive Officer, Director
- Patricia CarboneChief Financial Officer
- Stefano MichelagnoliChief Operating Officer
- Ian G ShawChief Compliance Officer
- Randeep BrarChief Risk Officer, Director
- Jaron CampbellDirector
- John ChiodiInterim Chief Investment Officer
- James CurtisLegal Counsel