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Catherine Lyn Goodwin

Hsbc Securities (usa) Inc.

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About Catherine Lyn Goodwin

Catherine Lyn Goodwin is an active investment advisor representative with HSBC Securities (USA) Inc. Catherine has been in the industry since April 2, 1998 and has held positions at several firms. Her past experience includes roles at Standard New York Securities, Inc., Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Salomon Smith Barney Inc., and Credit Suisse First Boston Corporation. Catherine holds the Series 16 exam.

Firm Information

Catherine Goodwin 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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Catherine Goodwin’s Registration & Firm History

NY

02/13/2015 - Present

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

NY

11/05/2013 - 01/12/2015

STANDARD NEW YORK SECURITIES, INC. (NEW YORK NY)

NY

05/24/2013 - 11/01/2013

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

05/19/2004 - 02/25/2013

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

06/18/2001 - 09/17/2003

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

11/17/2000 - 05/18/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

02/12/1997 - 10/27/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/18/1997

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Catherine Lyn Goodwin.
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