Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thomas Gomez is a financial professional with over 6 years of experience in the financial services industry. James has a Series 63, Series 66, Series 7, and Series 10 license and is registered with the state of New York as an Investment Advisor Representative. James is employed by HSBC Securities (USA) Inc. and is currently licensed in 53 states and the District of Columbia. James is also a Bank Officer for HSBC Bank (USA) N.A. where he engages in the sale of bank related products and services.
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
06/17/2022 - Present
Hsbc Securities (usa) Inc. (Buffalo NY)
BOTH
Issued 11/29/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/06/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/22/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2017
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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