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Peter Alexander Pfatteicher

Hsbc Securities (usa) Inc.

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About Peter Alexander Pfatteicher

Peter Alexander Pfatteicher is a financial professional with over 25 years of experience in the industry. Peter is currently registered with HSBC Securities (USA) Inc. and has previously held positions with firms such as Auerbach Grayson & Company LLC, Natixis Bleichroeder Inc., Kaufman Bros., L.P., Oppenheimer & Co. Inc., The Williams Capital Group, L.P., UBS Warburg LLC, Chase Securities Inc., Hambrecht & Quist LLC, BT Alex. Brown Incorporated, and Robertson, Stephens & Company LLC. Peter holds a Series 7, 10, 16, 63, 87, and SIE licenses.

Firm Information

Peter Pfatteicher is currently registered with Hsbc Securities (usa) Inc.. HSBC Securities (USA) Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm provides a range of advisory services, including asset allocation recommendations, selection of other advisers, portfolio management for businesses and pooled investment vehicles. They manage over $50 billion in assets for a diverse clientele including individuals, corporations, and investment companies. The firm has a large team of licensed agents, investment adviser representatives, and registered representatives. They also hold registrations in all 50 states, District of Columbia, Puerto Rico, and Virgin Islands.
Hsbc Securities (usa) Inc.

66 HUSDSON BOULEVARD EAST

NEW YORK, NY 10001

$3.02B

Assets Under Management

Not reported

Total Clients

524

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Peter Pfatteicher’s Registration & Firm History

NY

10/24/2011 - Present

Hsbc Securities (usa) Inc. (NEW YORK NY)

NY

01/25/2010 - 10/19/2011

AUERBACH GRAYSON & COMPANY LLC (NEW YORK NY)

NY

07/27/2006 - 09/11/2009

NATIXIS BLEICHROEDER INC. (NEW YORK NY)

NY

06/07/2006 - 07/21/2006

KAUFMAN BROS., L.P. (NEW YORK NY)

NY

05/17/2005 - 06/14/2006

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

12/17/2003 - 04/04/2005

THE WILLIAMS CAPITAL GROUP, L.P. (NEW YORK NY)

NY

01/25/2001 - 05/27/2003

UBS WARBURG LLC (NEW YORK NY)

NY

02/01/2000 - 12/08/2000

CHASE SECURITIES INC. (NEW YORK NY)

CA

04/06/1999 - 02/01/2000

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

MD

06/19/1998 - 04/13/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NY

04/11/1997 - 05/22/1998

HSBC SECURITIES, INC. (NEW YORK CITY NY)

CA

09/26/1995 - 11/18/1996

ROBERTSON, STEPHENS & COMPANY LLC (SAN FRANCISCO CA)

CO

08/24/1994 - 01/06/1995

D.E. FREY & COMPANY, INC. (DENVER CO)

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Licenses & Designations

BC

Issued 08/29/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/15/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/25/1998

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 08/23/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Peter Alexander Pfatteicher.
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