Dion Ross
Dion Ross is a registered investment advisor at Hsbc Securities (USA) INC., based in New York, NY, with 17 years of industry experience. Dion 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
66 Hudson Boulevard, Floor 3, New York, NY, 10001
Get directionsHistory
Regulatory History (2)
Judgment / Lien
July 2020Customer Dispute
June 2008Other Business Activities
Dion works part-time as a Meat Clerk/Apprentice Butcher at ShopRite of Brookdale, a local supermarket, dedicating about 64 hours per month. This activity is not investment-related.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Previous Registrations
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
John Thomas FinancialBroker
National Securities CorporationBroker
State Registrations2 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.