Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfonso? Claim Your ProfileAlfonso Montoya is a financial advisor at Hsbc Securities (usa) Inc. Alfonso has been in the industry since December 1998. Alfonso is registered with the state of Florida as an Investment Advisor Representative. Alfonso also has Series 7 and Series 66 licenses. Alfonso has also worked for WELLS FARGO ADVISORS, LLC and CITICORP INVESTMENT SERVICES. Alfonso is currently licensed in 19 states and has a total of 14 SRO registrations. Alfonso specializes in Fixed Annuities, Mutual Funds, and Retirement Planning.
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.
1
2
FL
03/03/2020 - Present
Hsbc Securities (usa) Inc. (AVENTURA FL)
FL
01/27/2012 - 05/16/2012
WELLS FARGO ADVISORS, LLC (AVENTURA FL)
FL
10/04/2005 - 02/10/2012
HSBC SECURITIES (USA) INC. (AVENTURA FL)
MO
05/06/2005 - 09/16/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
12/01/1998 - 05/04/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 12/15/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1998
Series 7 - General Securities 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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