Alba Esparragoza is a registered investment advisor at Hsbc Securities (USA) INC., based in Miami, FL, with 21 years of industry experience. Alba 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
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 generally negotiable and can be discounted at the firm's discretion.
Fee Estimator
Location
Miami, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Alba is the Owner and President of Luis Perez Production Inc., an event and entertainment production company, but the business is fully managed by others and requires minimal time. Alba also works as a bank officer for HSBC Bank (USA) N.A., selling bank-related products and services, in conjunction with her role as a registered representative.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Efg Asset Management (americas) CORP.
Efg Capital InternationalBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Fidelity Brokerage Services LLCBroker
Fidelity Investments Institutional Services Company, INC.Broker
State Registrations53 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.
Exams
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