Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Christopher Stevens is a financial advisor with HSBC Securities (USA) Inc., a firm with over $50 billion in assets under management. Nicholas has been in the financial industry since 2007 and has a wealth of experience serving clients in the Buffalo area. Nicholas holds several licenses and certifications including Series 6, 7, 9, 10, and 63. Nicholas has experience in providing asset allocation recommendations and selecting other advisors for clients, as well as portfolio management for businesses and pooled investment vehicles. Nicholas is dedicated to helping clients achieve their financial goals through a personalized approach.
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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NY
01/14/2009 - Present
Hsbc Securities (usa) Inc. (Buffalo NY)
NY
06/08/2007 - 11/06/2008
FIRST INVESTORS CORPORATION (GETZVILLE NY)
BC
Issued 06/28/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/07/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2014
Series 7 - General Securities Representative Examination
BC
Issued 06/07/2007
Series 6 - Investment Company Products/Variable Contracts 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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