Alfonso Montoya is a registered investment advisor at Hsbc Securities (USA) INC., based in Aventura, FL, with 27 years of industry experience. Alfonso operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 12,180 clients with $3.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.20% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.65% |
| $10M+ | 0.55% |
Fees are negotiable and discounts may be applied.
Fee Estimator
Location
2950 Aventura Blvd., Aventura, FL, 33180
Get directionsHistory
Regulatory History (8)
Customer Dispute
September 2013Customer Dispute
March 2013Customer Dispute
September 2012Customer Dispute
June 2012Customer Dispute
December 2005Customer Dispute
July 2005Customer Dispute
May 2004Customer Dispute
August 2001Other Business Activities
Alfonso works as a bank officer for HSBC Bank (USA) N.A., selling bank-related products and services. This is in addition to his role as a registered representative with HSBC Securities (USA) Inc.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Citicorp Investment Services
Citicorp Investment ServicesBroker
State Registrations20 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.