Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Norris is a financial advisor who has been in the industry since 1991. Patrick is currently registered with HSBC Securities (USA) Inc. in 52 states and the District of Columbia. He is also a Registered Investment Advisor (RIA) and has been registered as such in 26 states. Patrick has a wide range of experience in the financial services industry, including experience in providing investment advice to individuals, high net worth individuals, and pooled investment vehicles. Patrick is also a Certified Financial Planner. Patrick is committed to providing his clients with personalized financial advice and helping them achieve their financial goals. Patrick has been a registered representative with HSBC Securities (USA) Inc. since 2005. Patrick is also a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc. Patrick's experience and expertise allow him to provide his clients with a comprehensive range of financial services.
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
05/31/2011 - Present
Hsbc Securities (usa) Inc. (Buffalo NY)
NY
02/16/2005 - 03/10/2006
THE FI GROUP, INC. (WARSAW NY)
NY
01/01/2005 - 03/10/2005
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
04/17/2001 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MA
06/08/1993 - 02/03/2000
FIS SECURITIES, INC. (BOSTON MA)
MA
01/23/1992 - 06/01/1993
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
FL
09/27/1991 - 02/04/1992
LEGEND CAPITAL CORPORATION (PALM BEACH GARDENS FL)
NY
07/28/1989 - 01/13/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
04/06/1989 - 06/20/1989
MLB INVESTMENTS, LTD.
NA
12/20/1988 - 04/18/1989
MONMOUTH INVESTMENTS, INC.
NA
12/09/1988 - 01/09/1989
HIBBARD BROWN & CO., INC.
NA
12/06/1988 - 12/17/1988
J. W. GANT & ASSOCIATES, INC.
NA
07/19/1988 - 12/14/1988
THOMSON MCKINNON SECURITIES INC.
BOTH
Issued 05/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/01/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1988
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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