Dave LeeCRD Number: 5289325
Current Firm: Hsbc Securities (usa) Inc.
Dave Lee (CRD# 5289325) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Forest Hills, NY and has over 11 years of experience in the finance industry.
Legacy Care Wealth, LLC
Altium Wealth Management LLC
Cfs Investment Advisory Services LLC
|Hsbc Securities (usa) Inc.||Flushing, NY||Nov 2015 - Current||2|
|Hsbc Bank Usa N.a.||Flushing, NY||Nov 2015 - Current||2|
|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|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 2007|
|S66||NASAA Uniform Combined State Law Examination||Feb 2011|
Total Assets Under Management2,974MILLIONS
Total Number of Accounts12,328ACCOUNTS
Average Account Value$241,245
- 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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