Alfonso Montoya

Hsbc Securities (USA) INC.

26 Years of Experience

8 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment Management

Hsbc Securities (USA) INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

339 advisors

Number of Clients

12,180 clients

Average Client Portfolio

$265K average

Assets Under Management

$3.2B

Fee Structure

Minimum Investment:$500K

Financial Planning:Investment management only

Location

2950 Aventura Blvd., Aventura, FL, 33180

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History

Regulatory History (8)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

September 2013

Denied

Customer Dispute

March 2013

Settled

Customer Dispute

September 2012

Denied

Customer Dispute

June 2012

Denied

Customer Dispute

December 2005

Denied

Customer Dispute

July 2005

Denied

Customer Dispute

May 2004

Denied

Customer Dispute

August 2001

Closed-No Action

View Full SEC Report How to Read Disclosures

Other 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.