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Caroline Barsoum

Hsbc Securities (usa) Inc.

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About Caroline Barsoum

Caroline Barsoum is a financial professional with over 35 years of experience in the financial services industry. Caroline has been registered with HSBC Securities (USA) Inc. since December 2008. Prior to that, Caroline worked at Foreside Distribution Services, L.P., CitiCorp Investment Services, Quest for Value Distributors, Smith Barney Shearson Inc. and Lehman Brothers Inc. Caroline holds FINRA Series 7 and 63 licenses and the SIE exam. Caroline is currently licensed in New York and holds a current registration with FINRA.

Firm Information

Caroline Barsoum is currently registered with Hsbc Securities (usa) Inc.. HSBC Securities (USA) Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm provides a range of advisory services, including asset allocation recommendations, selection of other advisers, portfolio management for businesses and pooled investment vehicles. They manage over $50 billion in assets for a diverse clientele including individuals, corporations, and investment companies. The firm has a large team of licensed agents, investment adviser representatives, and registered representatives. They also hold registrations in all 50 states, District of Columbia, Puerto Rico, and Virgin Islands.
Hsbc Securities (usa) Inc.

66 HUSDSON BOULEVARD EAST

NEW YORK, NY 10001

$3.02B

Assets Under Management

Not reported

Total Clients

524

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Caroline Barsoum’s Registration & Firm History

NY

12/17/2008 - Present

Hsbc Securities (usa) Inc. (NEW YORK NY)

ME

03/12/1997 - 12/17/2008

FORESIDE DISTRIBUTION SERVICES, L.P. (PORTLAND ME)

NY

04/28/1994 - 01/20/1997

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

01/26/1994 - 02/18/1994

QUEST FOR VALUE DISTRIBUTORS (NEW YORK NY)

NY

07/31/1993 - 01/14/1994

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

NY

01/25/1984 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/15/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Caroline Barsoum.
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