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Colleen Marie Bucknum

Investment Adviser Representative at HSBC SECURITIES (USA) INC.

Seattle, WACRD #6333081Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
11 yrs
States Registered
41 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 41 states
AlaskaArizonaArkansasCaliforniaColoradoDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/15/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 7/31/2014
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/14/2014

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
5/15/2015Seattle, WA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
7/14/201410/21/2014Seattle, WA

Official records & sources

Data as of August 11, 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. Colleen Marie Bucknum 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.

Colleen Marie Bucknum - Financial Advisor in Seattle, WA | AdvisorFinder