Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Maffucci is a registered representative of HSBC Securities (USA) Inc. and has been in the industry since October 20, 2011. Nicholas is registered with the Securities and Exchange Commission (SEC) and holds Series 63, 66, 7 and 99TO licenses. Nicholas has previously worked at WELLS FARGO ADVISORS, LLC, AEGIS CAPITAL CORP., and PAULSON INVESTMENT COMPANY, INC. In addition to being a registered representative, Nicholas is also a bank officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc.
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
05/27/2015 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
12/04/2012 - 02/26/2014
WELLS FARGO ADVISORS, LLC (SMITHTOWN NY)
NY
02/29/2012 - 11/26/2012
AEGIS CAPITAL CORP. (MELVILLE NY)
NY
09/15/2011 - 02/29/2012
PAULSON INVESTMENT COMPANY, INC. (HAUPPAUGE NY)
BOTH
Issued 12/21/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2011
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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