Brian E. Mariscal
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.
Brian Evans Mariscal was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1988. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 9, Series 10, Series 8 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
July 12, 2005 - November 6, 2023
CREDIT SUISSE SECURITIES (USA) LLC
August 23, 1995 - April 30, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 5, 1993 - August 8, 1995
CITIGROUP GLOBAL MARKETS INC.
November 3, 1988 - January 22, 1992
NOMURA SECURITIES INTERNATIONAL, 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 8
Date: 11/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
