Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Aric? Claim Your ProfileAric Michael West is a registered representative with HSBC Securities (USA) Inc. Aric has been in the industry since May 24, 2004. Aric is registered to provide investment advice in 52 states and the District of Columbia. Aric is also registered with the Financial Industry Regulatory Authority (FINRA) as a general securities representative. Aric holds a Series 6, 7, 9, 10, 24, 55, 57, 63, 66 and 99 license. Aric specializes in providing financial services to individuals, corporations, and institutions. Aric is also a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc. Aric provides operational support for bank-related products and services in conjunction with his role as a registered representative.
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
NY
04/27/2022 - Present
Hsbc Securities (usa) Inc. (Buffalo NY)
NY
09/29/2004 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NJ
04/30/2004 - 09/03/2004
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 04/27/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/24/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2022
Series 24 - General Securities Principal Examination
BC
Issued 09/27/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/20/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/11/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/29/2004
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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