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Dufresne Nicolas
32 Years of Experience
Lagrangeville, NY
3 DisclosuresBroker
Dufresne Nicolas is a registered investment advisor at Hsbc Securities (USA) INC., based in Lagrangeville, NY, with 32 years of industry experience. Dufresne is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,108 clients with $3.8B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
375 advisors
Number of Clients
12,108 clients
Average Client Portfolio
$317K average
Assets Under Management
$3.8B
Fee Structure
Minimum Investment:$50K
Investment management only (planning not offered)
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 generally negotiable and can be discounted at the firm's discretion.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Lagrangeville, NY
Get directionsHistory
Regulatory History (3)
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.
Financial
May 2017Final
Customer Dispute
November 2002Denied
Customer Dispute
October 2002Denied
Employment History
Current Registrations
Hsbc Securities (USA) INC.Broker
May 2024 - Present · 2 yrs 5 mos
Hsbc Securities (USA) INC.
May 2024 - Present · 2 yrs 5 mos
Hsbc Securities (USA) INC.
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2018 - April 2024 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2018 - April 2024 · 5 yrs 8 mos
Morgan Stanley
April 2018 - May 2018 · 1 mo
Morgan StanleyBroker
June 2009 - May 2018 · 8 yrs 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
July 2005 - April 2007 · 1 yr 9 mos
UBS Financial Services INC.Broker
July 1997 - July 2005 · 8 yrs
Prudential Securities IncorporatedBroker
April 1996 - July 1997 · 1 yr 3 mos
Painewebber IncorporatedBroker
November 1993 - April 1996 · 2 yrs 5 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.
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