Thomas AvitabileCRD Number: 1001420
Current Firm: Hsbc Securities (usa) Inc.
Thomas Avitabile (CRD# 1001420) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Scarsdale, NY and has over 24 years of experience in the finance industry.
Cfs Investment Advisory Services LLC
Legacy Care Wealth, LLC
Altium Wealth Management LLC
|Hsbc Securities (usa) Inc.||Scarsdale, NY||Mar 2015 - Current||1|
|Citigroup Global Markets Inc.||Larchmont, NY||Dec 2013 - Mar 2015||1|
|Hsbc Securities (usa) Inc.||Scarsdale, NY||Apr 2013 - Dec 2013||< 1|
|Hsbc Securities (usa) Inc.||Stamford, CT||Apr 2007 - Apr 2013||6|
|Banc Of America Investment Services, Inc.||Melville, NY||Oct 2004 - Apr 2007||2|
|Banc Of America Insurance Services, Inc.||Greenwich, CT||Oct 2004 - Apr 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1992|
|S65||NASAA Investment Advisors Law Examination||Aug 2002|
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
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