Jorge Nieves AponteCRD Number: 4453274
Current Firm: Hsbc Securities (usa) Inc.
Jorge Nieves Aponte (CRD# 4453274) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Miami, FL and has over 7 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|Hsbc Private Bank||Miami, FL||Jul 2007 - Current||9|
|Hsbc Securities||Miami, FL||Jul 2007 - Current||9|
|Citicorp Financial Services Corporation||San Juan, PR||May 2006 - Jun 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2009|
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:
- Customer Dispute
Total Assets Under Management2,985MILLIONS
Total Number of Accounts12,340ACCOUNTS
Average Account Value$241,893
- 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