Rezwan AlamCRD Number: 5349513
Current Firm: Hsbc Securities (usa) Inc.
Rezwan Alam (CRD# 5349513) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Boca Raton, FL and has over 10 years of experience in the finance industry.
Northstar Financial Planners, Inc.
Tobias Financial Advisors
|Hsbc Bank Usa National Association||Pompano Beach, FL||Feb 2017 - Current||1|
|Hsbc Securities (usa) Inc.||Pompano Beach, FL||Feb 2017 - Current||1|
|Jp Morgan Securities LLC||Boca Raton, FL||Nov 2015 - Jan 2017||1|
|Jpmorgan Chase Bank||Boca Raton, FL||Nov 2015 - Jan 2017||1|
|Pnc Bank||Pittsburgh, PA||Jan 2013 - Nov 2015||2|
|Pnc Investments||Pittsburgh, PA||Jan 2013 - Nov 2015||2|
|Wells Fargo Advisors LLC||Boca Raton, FL||Jul 2012 - Jan 2013||< 1|
|Wells Fargo Bank Na||Boca Raton, FL||Oct 2011 - Jan 2013||1|
|Devry School Of Management||Fort Lauderdale, FL||Mar 2011 - Mar 2012||1|
|Unemployed||Boca Raton, FL||Aug 2011 - Oct 2011||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Boca Raton, FL||Jun 2011 - Aug 2011||< 1|
|Cvs Pharmacy||Boca Raton, FL||Mar 2010 - Jun 2011||1|
|Cbg Financial Group||Boca Raton, FL||Nov 2010 - May 2011||< 1|
|Best Buy||Boca Raton, FL||Apr 2010 - Oct 2010||< 1|
|Unemployed||Boca Raton, FL||Jan 2010 - Mar 2010||< 1|
|Cbg Financial Group, Inc.||Boca Raton, FL||Sep 2009 - Jan 2010||< 1|
|Gunnallen Financial||Tampa, FL||Apr 2009 - Sep 2009||< 1|
|Gunnallen Financial||Boca Raton, FL||May 2007 - Apr 2009||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2008|
|S66||NASAA Uniform Combined State Law Examination||Mar 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management2,974MILLIONS
Total Number of Accounts12,328ACCOUNTS
Average Account Value$241,245
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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