Dave Lee, financial advisor Flushing NY
93 score

Dave Lee

CRD Number: 5289325
Current Firm: Hsbc Securities (usa) Inc.

Dave Lee (CRD# 5289325) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Flushing, NY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Securities (usa) Inc. Flushing, NY Nov 2015 - Current 1
Hsbc Bank Usa N.a. Flushing, NY Nov 2015 - Current 1
Hsbc Bank Usa, N.a. Yonkers, NY Apr 2014 - Nov 2015 1
Hsbc Securities (usa) Inc. Yonkers, NY Apr 2014 - Nov 2015 1
Jp Morgan Securities LLC New York, NY Aug 2013 - Apr 2014 < 1
Hsbc Securities (usa) Inc. Forest Hills, NY Apr 2013 - Jul 2013 < 1
Hsbc Securities (usa) Inc. Forrest Hills, NY Jan 2012 - Apr 2013 1
Merrill Lynch New York, NY Nov 2010 - Jan 2012 1
Hsbc Flushing, NY Jun 2010 - Nov 2010 < 1
Wachovia Great Neck, NY May 2009 - Jun 2010 1
Wachovia Bank, N.a. White Plains, NY May 2009 - May 2010 1
Wells Fargo Advisors, LLC White Plains, NY May 2009 - May 2010 1
Samsung (world Cyber Games) Irvington, NY May 2008 - May 2009 1
Samsung Electronics (wcg) Irvington, NY Apr 2008 - May 2009 1
Chase Investment Services Corp Whitestone, NY Jan 2008 - May 2008 < 1
Jpmorgan Chase Bank Na Whitestone, NY Jan 2008 - May 2008 < 1
Jpmorgan Chase Bayside, NY Jan 2007 - Apr 2008 1
Chase Investment Services Corp Bayside, NY Feb 2007 - Dec 2007 < 1
Jpmorgan Chase Na Bayside, NY Feb 2007 - Dec 2007 < 1
Unemployed Hicksville, NY Dec 2006 - Feb 2007 < 1
Suny Stonybrook University Stonybook, NY Jan 2003 - Jan 2007 4
Y & S Beauty Supply Jamaica, NY Jul 2005 - Dec 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2007
S66 NASAA Uniform Combined State Law Examination Feb 2011
Contact Info for Dave Lee
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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