James Seifert, financial advisor Cedarhurst NY
93 score

James Seifert

CRD Number: 5458832
Current Firm: Hsbc Securities (usa) Inc.

James Seifert (CRD# 5458832) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Cedarhurst, NY and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Bank Cedarhhurst, NY Mar 2016 - Current < 1
Hsbc Securities (usa) Inc. Rockville Centre, NY Aug 2013 - Mar 2016 2
Cabot Lodge Securities LLC New York, NY Oct 2012 - Aug 2013 < 1
Merrill Lynch, Pierce, Fenner And Smith Incorporated Garden City, NY Sep 2011 - Oct 2012 1
David Lerner Associates Syosset, NY Nov 2007 - Sep 2011 3
Excel Title Uniondale, NY Feb 2004 - Nov 2007 3
Expert Title Uniondale, NY Mar 2003 - Nov 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2008
S66 NASAA Uniform Combined State Law Examination Nov 2011
Contact Info for James S. Seifert
Phone Number: 212-525-2879
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    2,985
    MILLIONS
  • Total Number of Accounts
    12,340
    ACCOUNTS
  • Average Account Value
    $241,893
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

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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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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