Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Felipe? Claim Your ProfileFelipe Roca is an investment advisor representative with HSBC Securities (USA) Inc. Felipe has been in the securities industry for over 10 years and is registered to provide investment advice in a number of states. Felipe has a diverse background and has worked for several different financial institutions, including HSBC Canada and Desjardins Bank. Felipe currently holds a Series 66 license and a Series 7TO license. Felipe's areas of expertise include asset allocation, portfolio management, and financial 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.
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2
FL
07/15/2024 - Present
Hsbc Securities (usa) Inc. (AVENTURA FL)
BOTH
Issued 07/12/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/08/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/17/2022
SIE - Securities Industry Essentials 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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