Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Rowbotham is an active investment advisor currently registered with HSBC Securities (USA) Inc. Michael has been in the industry since October 2017. Michael has a strong background in the financial services industry with prior registrations at Credit Suisse Securities (USA) LLC and Nomura Securities International, Inc. Michael holds the Series 3, SIE, and Series 7 licenses.
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
12/19/2023 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
02/05/2020 - 11/05/2021
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
08/03/2015 - 01/15/2020
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BC
Issued 08/07/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2015
Series 7 - General Securities Representative Examination
Active
Inactive
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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
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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