CREDIT SUISSE SECURITIES (USA) LLC

Latest filing: Sep 20, 2024 (40 days ago)
View on IAPD
Adviser Website

AUM

$805,275,346
3% change vs. 1 year ago
63% change vs. 3 years ago
170% change vs. 5 years ago
-96% change vs. 10 years ago

Employee Count

39
-99% change vs. 1 year ago
-99% change vs. 3 years ago
-99% change vs. 5 years ago
-100% change vs. 10 years ago

Main Office

NEW YORK, NY
11 MADISON AVENUE, NEW YORK, NY, UNITED STATES, 10010

Client AUM

Discretion AUM
Discretionary $0.8
Non-Discretionary $0.0
Total $0.8
Client AUM
Retail $0.0
Pooled $0.8
Institutional $0.0
Total $0.8
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 0 $0.0
Average HNW AUM $0
Retail Total 0 $0.0
Average Retail AUM $0

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.0
Retail SMA AUM $0.0
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 0% $0.0
Other 0% $0.0
Total 0% $0.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
UBS FINANCIAL SERVICES INC. $702.4 broker-dealer 8174
UBS ASSET MANAGEMENT (AMERICAS) INC. $477.9 106838
CREDIT SUISSE ASSET MANAGEMENT, LLC $59.9 106012
UBS REALTY INVESTORS LLC $2.7 107758
UBS OCONNOR LLC $0.0 108754
UBS HEDGE FUND SOLUTIONS LLC $0.0 131034
CREDIT SUISSE AG $0.0 broker-dealer -
UBS FUND SERVICES (USA) LLC $0.0 broker-dealer 41848
UBS FARMLAND INVESTORS LLC $0.0 107754
UBS ASSET MANAGEMENT (US) INC. $0.0 broker-dealer 583
UBS SECURITIES LLC $0.0 broker-dealer 7654

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

12 active

Name Title
KRAUSS, DAVID I CHIEF RISK OFFICER
MILLER, MAURA ANNE CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR
EBERT, MICHAEL J HEAD OF CREDIT SUISSE INVESTMENT BANK, BOARD MEMBER, TEXAS DESIGNATED OFFICER
WIPF, THOMAS CHIEF EXECUTIVE OFFICER, BOARD MEMBER
CHIODI, MARIA GENERAL COUNSEL
HASSELL, GARY HEAD OF OPERATIONS
POWERS, WAYNE CHIEF FINANCIAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

14 active representatives found

Name City State Exams Designations
DANIEL VAYSLEYB NEW YORK NY S63|2006-04-14|S66|2008-04-21
ROBERT DADDARIO NEW YORK NY S63|1998-12-23|S66|2011-01-31
STEPHEN KEEFER NEW YORK NY S66|2005-12-19
ELIZABETH KARNICK NEW YORK NY S66|2003-05-16
STEVEN HARR NEW YORK NY S66|2004-09-30
SEAN GRAY NEW YORK NY S63|1989-03-09|S66|2005-01-21
ANDREW STEVENS NEW YORK NY S63|2006-01-24|S65|2021-06-03
PABLO COSSARO NEW YORK NY S66|2005-10-04
ZACHARY ZINKGRAF NEW YORK NY S66|2015-07-23
STEVEN BOCK NEW YORK NY S66|2002-12-20
JAMES LEE NEW YORK NY S66|2006-07-11
EDWARD GHISLANDI NEW YORK NY S63|1999-09-01|S66|2002-04-29
DAVID TIPS NEW YORK NY S66|2002-06-10
THOMAS HILLMAN NEW YORK NY S66|2002-04-03

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $0.8 $0.0 0% 39 0 0%
2024-04-02 $0.8 $0.0 0% 39 0 0%
2023-04-04 $0.8 $0.0 3% 3,796 -3,757 -99%
2022-04-01 $0.8 $0.0 4% 4,452 -4,413 -99%
2021-04-05 $0.5 $0.3 63% 4,603 -4,564 -99%
2020-04-01 $0.4 $0.4 99% 4,744 -4,705 -99%
2019-04-01 $0.3 $0.5 170% 4,720 -4,681 -99%
2018-04-02 $0.2 $0.6 233% 5,199 -5,160 -99%
2017-04-01 $0.2 $0.6 378% 5,381 -5,342 -99%
2016-04-01 $0.1 $0.7 495% 12,432 -12,393 -100%
2015-04-01 $29.1 -$28.3 -97% 9,443 -9,404 -100%
2014-04-01 $20.4 -$19.6 -96% 8,499 -8,460 -100%
2013-04-01 $15.8 -$15.0 -95% 11,270 -11,231 -100%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-05/08/2000, AL-12/12/2000, AR-06/19/2000, AZ-04/21/2000, CA-02/04/2000, CT-06/21/2000, DC-07/05/2000, DE-09/22/2003, FL-07/22/1991, GA-06/21/2000, HI-07/24/2000, IA-06/21/2000, ID-06/09/1994, IL-06/23/2000, IN-11/08/2000, KS-06/21/2000, KY-06/21/2000, LA-10/02/2001, MD-01/23/1996, ME-01/30/2002, MI-04/04/2000, MN-07/19/2000, MO-02/17/2000, MS-06/23/2000, MT-06/28/2000, NC-12/18/2000, ND-06/23/2000, NE-06/23/2000, NH-02/02/2000, NJ-09/05/1992, NM-02/07/2000, NV-01/03/2000, NY-01/31/1994, OH-06/29/2000, OK-07/06/2000, OR-04/25/2000, PA-07/14/1932, PR-06/26/2000, RI-01/01/1997, SC-06/28/2000, SD-06/23/2000, TN-06/29/2000, TX-01/01/1983, UT-05/23/1994, VA-08/14/1991, VI-03/31/2008, VT-06/27/2000, WA-04/25/2000, WI-04/23/2000, WV-02/04/2000
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (POOLS)
OTHER ACTIVITIES
BROKER DEALER
FUTURES MERCHANT

ADVDB.CO • SOURCE: SEC FORM ADV