Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Falgia is a financial advisor with over 10 years of experience in the industry. John has been registered with HSBC Securities (USA) Inc. since 2022, and previously worked at UBS Securities LLC, Deutsche Bank Securities Inc., and Wells Fargo Securities, LLC. John holds the Series 7 and Securities Industry Essentials (SIE) licenses. HSBC Securities (USA) Inc. offers various financial services, including portfolio management for businesses and pooled investment vehicles. The firm's regulatory assets under management exceed $3 billion.
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
NY
05/18/2022 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
05/21/2020 - 09/20/2021
UBS SECURITIES LLC (NEW YORK NY)
NY
04/29/2010 - 06/04/2018
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
12/22/2008 - 04/15/2010
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
BC
Issued 06/04/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2008
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.
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FINRA
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Investors' Exchange LLC
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NYSE American LLC
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NYSE Arca, Inc.
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Nasdaq BX, Inc.
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Nasdaq ISE, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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