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Christopher Harriman Dann

Investment Adviser Representative at HSBC SECURITIES (USA) INC.

Amherst, NYCRD #2163107Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
53 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Christopher Harriman Dann has worked in the securities industry since 1991. They are registered to provide investment advisory services in 53 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 5/25/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 9/23/1991
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/22/1991

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,0001.50%
Next $250,0001.20%
Next $500,0001.00%
Next $1,000,0000.90%
Next $3,000,0000.80%
Next $5,000,0000.65%
Above $10,000,0000.55%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

HSBC Securities (USA) Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

HSBC SECURITIES (USA) INC.Current
5/31/2016Amherst, NY
HSBC SECURITIES (USA) INC.Current
4/20/2016Orchard Park, NY
CHARLES SCHWAB & CO., INC.
5/5/20052/24/2016Amherst, NY
LASALLE ST SECURITIES, L.L.C.
10/2/19974/28/2005Elmhurst, IL
SAPERSTON FINANCIAL INC.
12/9/199210/16/1997Buffalo, NY
DEAN WITTER REYNOLDS INC.
8/23/199112/15/1992Purchase, NY

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Christopher Harriman Dann has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Christopher Harriman Dann - Financial Advisor in Amherst, NY | AdvisorFinder