Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel James thompson Stockwin is a securities professional with extensive experience in the financial services industry. Samuel is currently registered with HSBC Securities (USA) Inc. and is licensed to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Samuel has a broad range of experience in the securities industry, and has passed the SIE, Series 7, Series 24, Series 63, and Series 79 examinations. Samuel's career has been focused on providing advice to a wide range of clientele including individuals, businesses, and pooled investment vehicles.
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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2
CA
03/06/2017 - Present
Hsbc Securities (usa) Inc. (San Francisco CA)
BC
Issued 05/01/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2017
Series 7 - General Securities Representative Examination
BC
Issued 03/06/2017
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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