Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Smith is a registered representative with HSBC Securities (USA) Inc. located in NEW YORK, NY. Jason has been in the industry since 2009 and is registered with the following states: Connecticut, New Jersey, and New York. Jason holds the Series 7, 10, 24, 53, 55, 63, 66, 99, and SIE exams.
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
08/01/2023 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
01/12/2016 - 11/03/2017
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/15/2013 - 12/18/2015
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/05/2003 - 09/10/2005
AXA ADVISORS, LLC (NEW YORK NY)
NY
08/01/2002 - 10/09/2002
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NJ
10/24/2001 - 08/01/2002
SKEFFINGTON SECURITIES, L.L.C. (JERSEY CITY NJ)
NY
06/27/2001 - 10/24/2001
HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. (NEW YORK NY)
BOTH
Issued 08/05/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/17/2014
Series 24 - General Securities Principal Examination
BC
Issued 11/19/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2013
Series 7 - General Securities Representative Examination
BC
Issued 10/31/2001
Series 55 - Limited Representative-Equity Trader Exam
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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