Mark Poitras, financial advisor Southampton NY
86 score

Mark Poitras

CRD Number: 5574063
Current Firm: Hsbc Securities (usa) Inc.

Mark Poitras (CRD# 5574063) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Southampton, NY and has over 8 years of experience in the finance industry. Mark Poitras has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Hsbc Securities (usa) Inc. Hampton Bay, NY Apr 2013 - Current 3
Hsbc Securities (usa) Inc. Hampton Bays, NY Mar 2013 - Apr 2013 < 1
Merrill Lynch, Pierce, Fenner & Smith, Inc. Southampton, NY Jan 2011 - Mar 2013 2
Royal Alliance Associates Sag Harbor, NY Jul 2010 - Jan 2011 < 1
Par East Mortgage East Hampton, NY Nov 1999 - Jan 2011 11
Nationwide Securities, LLC Hauppauge, NY Aug 2008 - Jul 2010 1
Nationwide Financial Network Hauppauge, NY Jul 2008 - Jul 2010 2
1717 Capital Management Newark, DE Jul 2008 - Aug 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2008
S66 NASAA Uniform Combined State Law Examination Dec 2010
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Mark A. Poitras
Phone Number: 212-525-2879
Registered State(s):
  • ME
  • 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
86

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