Mark R. Altherr
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.
Mark Robert Altherr was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2000 - February 4, 2019
CREDIT SUISSE SECURITIES (USA) LLC
July 10, 2000 - October 16, 2000
PERSHING LLC
November 28, 1997 - July 5, 2000
CITIGROUP GLOBAL MARKETS INC.
August 19, 1992 - September 1, 1998
SALOMON BROTHERS INC.
April 24, 1992 - August 18, 1992
JPMSI
March 25, 1985 - April 16, 1992
SALOMON BROTHERS INC.
November 22, 1983 - August 20, 1986
ORION ROYAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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.
