Charles Garlock is a registered investment advisor at Hsbc Securities (USA) INC., based in Lockport, NY, with 10 years of industry experience. Charles 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
Lockport, NY
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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
Charles owns rental real estate in Lockport, NY. He has a 1% ownership stake.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Previous Registrations
Key Investment Services LLCBroker
Key Investment Services LLC
LPL Financial LLC
LPL Financial LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations53 states
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