Individual Firm
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ALFREDO DANIEL VERASTEGUI
CRD#: 4413249
IA
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HSBC SECURITIES (USA) INC.CRD#: 19585 1441 Brickell Avenue
16th Floor
MIAMI, FL 33131
16th Floor
MIAMI, FL 33131
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Disclosures
21
Years of Experience
View By:
State Registrations
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Florida 9/29/2023
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Oklahoma 11/27/2024
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Florida 1/25/2024
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Texas 11/12/2024
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Georgia 8/22/2024
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Texas 11/12/2024
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New York 4/1/2019
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Washington 1/29/2025
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New York 1/24/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/24/2024
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Registered with this firm since 4/1/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/15/2012 - 11/17/2017 | MIAMI, FL | |
B | 07/03/2008 - 05/30/2012 | HIALEAH, FL | |
B | 07/12/2006 - 01/08/2008 | MIAMI, FL | |
B | 07/13/2001 - 02/08/2006 | LONG ISLAND CITY, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.