Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nora? Claim Your ProfileNora Lelia Rodriguez ponce is an active broker-dealer and investment adviser representative. Nora has been in the industry since 2016 and holds the following licenses: Series 63, Series 24, SIE, Series 7 and Series 79. Nora is currently registered with HSBC Securities (USA) Inc. and is licensed in all 50 states and the District of Columbia. Nora is a principal with HSBC Securities (USA) Inc. and is a member of FINRA. Nora has a strong track record of success in the financial services industry and is committed to providing her clients with the highest level of service and expertise.
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
11/01/2016 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
BC
Issued 02/13/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/01/2016
Series 79 - Investment Banking Registered 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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