Francisco Galan, financial advisor Encino CA
93 score

Francisco Galan

CRD Number: 4486394
Current Firm: Hsbc Securities (usa) Inc.

Francisco Galan (CRD# 4486394) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Encino, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Securities (usa) Inc. Encino, CA Apr 2015 - Current 1
J.p. Morgan Securities LLC Woodland Hills, CA Oct 2012 - Mar 2015 2
Chase Investment Services Corp Burbank, CA May 2009 - Oct 2012 3
Chase Investment Services Corp Burbank, CA May 2009 - Oct 2012 3
Wamu Burbank, CA Apr 2009 - May 2009 < 1
Energy Marketing Opportunities West Hills, CA Jan 2007 - Mar 2009 2
Rig Leasing, LLC Calabasas, CA Jan 2006 - Dec 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2009
S65 NASAA Investment Advisors Law Examination Sep 2010
S66 NASAA Uniform Combined State Law Examination Mar 2002
Contact Info for Francisco A. Galan
Phone Number: 212-525-2879
Registered State(s):
  • CA
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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