Thomas K. Purdy
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.
Thomas Keith Purdy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 66, Series 65, 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
June 17, 2015 - June 13, 2016
CREDIT SUISSE SECURITIES (USA) LLC
May 26, 2015 - June 13, 2016
CREDIT SUISSE SECURITIES (USA) LLC
October 1, 1997 - October 22, 1998
BANC OF AMERICA SECURITIES LLC
April 15, 1997 - October 1, 1997
MONTGOMERY SECURITIES
September 4, 1987 - April 11, 1997
MORGAN STANLEY & CO. LLC
July 9, 1986 - September 24, 1987
LEHMAN BROTHERS INC.
May 8, 1985 - July 24, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1984 - February 27, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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.
