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JC

Joan M. Caridi

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CRD#: 1324333
JC

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.

Joan May Caridi, who also goes by Joan Caridi, was a registered financial professional .

Joan is a previously registered financial professional and started their career in finance in 1990. Joan had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 8 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joan Caridi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 26, 2000 - January 19, 2001

CREDIT SUISSE CAPITAL LLC

BD
CRD#: 103821
NEW YORK, NY
Past

April 7, 2000 - April 12, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 1, 1998 - March 30, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 1, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

December 9, 1994 - July 17, 1995

SALOMON BROTHERS MUNICIPALS INC

BD
CRD#: 28940
Past

October 10, 1994 - July 17, 1995

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

July 30, 1991 - September 26, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 10, 1990 - July 8, 1991

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 26, 1990 - September 28, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/14/1990
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 14
Date: 11/25/1989
Compliance Officer Examination

Current Firm

CS
CREDIT SUISSE CAPITAL LLC
CREDIT SUISSE CAPITAL LLC | CREDIT SUISSE FIRST BOSTON PRIVATE ADVISOR, LLC | CREDIT SUISSE FIRST BOSTON ELECTRONIC BROKER LLC | CREDIT SUISSE FIRST BOSTON CAPITAL LLC

CRD#: 103821 / SEC#: , 8-52352

BD
Terminated by SEC on 08/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/13/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT SUISSE (USA) LLCSOLE MEMBER AND 100% SHAREHOLDER
FISHER, JOHN JOSEPHCHIEF COMPLIANCE OFFICER1588235
POWERS, WAYNECHIEF FINANCIAL OFFICER2444741
ROODIN, NEAL DAVIDBOARD MEMBER AND CHIEF RISK OFFICER2375539
SHOEMAKER, DREWBOARD MEMBER, CHIEF EXECUTIVE OFFICER4809785

Disclosures

Regulatory Event1

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.

Company Information

CREDIT SUISSE CAPITAL LLC

CRD#: 103821

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