Augustine J. Vargetto
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.
Augustine Joseph Vargetto was a registered financial professional .
Augustine is a previously registered financial professional and started their career in finance in 1988. Augustine had worked at 6 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2002 - December 22, 2022
CREDIT SUISSE SECURITIES (USA) LLC
April 8, 1998 - July 15, 2002
DEUTSCHE BANK SECURITIES INC.
September 17, 1990 - February 17, 1998
SALOMON BROTHERS INC.
July 28, 1989 - January 16, 1990
BCA SECURITIES, L.P.
March 21, 1988 - August 8, 1989
FUNDAMENTAL BROKERS INTERNATIONAL INC.
February 8, 1988 - November 20, 1989
FUNDAMENTAL CORPORATE BOND BROKERS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
