Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alba? Claim Your ProfileAlba Esparragoza is a financial advisor registered with HSBC Securities (USA) Inc., offering investment advisory services. Alba has been in the financial industry since 2005 and has extensive experience in providing financial advice. With a focus on asset allocation, Alba partners with third-party advisors to manage client assets based on their approved recommendations. In addition to her work at HSBC Securities (USA) Inc., Alba is also a Bank Officer for HSBC Bank (USA) N.A., offering banking-related products and services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
FL
08/04/2016 - Present
Hsbc Securities (usa) Inc. (MIAMI FL)
FL
06/26/2014 - 07/21/2016
WELLS FARGO ADVISORS, LLC (MIAMI FL)
FL
07/18/2013 - 06/17/2014
EFG CAPITAL INTERNATIONAL (MIAMI FL)
FL
07/06/2006 - 06/26/2013
HSBC SECURITIES (USA) INC. (MIAMI FL)
RI
04/20/2005 - 08/23/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
07/01/2002 - 09/12/2003
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 02/12/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2005
Series 7 - General Securities Representative Examination
BC
Issued 06/28/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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