James T. Mavrikos
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Theodore Mavrikos was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - September 20, 2016
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - September 20, 2016
CREDIT SUISSE SECURITIES (USA) LLC
May 17, 1999 - January 17, 2003
PERSHING LLC
August 27, 1996 - January 17, 2003
PERSHING LLC
June 13, 1991 - August 28, 1996
LEHMAN BROTHERS INC.
March 11, 1985 - June 6, 1991
J.P. MORGAN SECURITIES LLC
July 14, 1983 - March 4, 1985
UBS FINANCIAL SERVICES INC.
May 25, 1983 - July 11, 1983
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
