TrueAdvisor
TrueAdvisor
WF
WF

William Fahs

Hsbc Securities (USA) INC.
9 Years of Experience
Hamburg, NY
4 DisclosuresBroker
View SEC Summary
View SEC Summary

William Fahs is a registered investment advisor at Hsbc Securities (USA) INC., based in Hamburg, NY, with 9 years of industry experience. William 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.

Hsbc Securities (USA) INC.
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 ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.20%
$500K - $1.0M1.00%
$1.0M - $2.0M0.90%
$2.0M - $5.0M0.80%
$5.0M - $10.0M0.65%
$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
—
View Full SEC Brochure

Location

Hamburg, NY

Get directions

History

Regulatory History (4)
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
September 2018
Final
Financial
August 2018
Final
Financial
April 2018
Final
Financial
September 2017
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Hsbc Securities (USA) INC.
October 2023 - Present · 3 yrs
Hsbc Securities (USA) INC.Broker
May 2021 - Present · 5 yrs 5 mos
Hsbc Securities (USA) INC.
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Key Investment Services LLCBroker
October 2018 - April 2021 · 2 yrs 6 mos
Pruco Securities, LLC.Broker
May 2012 - July 2013 · 1 yr 2 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.
More Advisors
More financial advisors in Hamburg, NY →All financial advisors in New York →