Kevin L. Russeth
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.
Kevin Lee Russeth was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 79, Series 3, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - March 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
April 5, 2013 - March 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
November 14, 2012 - April 3, 2013
ANTAEUS CAPITAL, INC.
April 3, 2012 - April 3, 2013
ANTAEUS CAPITAL, INC.
September 30, 2011 - April 4, 2012
ASCENDIANT CAPITAL MARKETS, LLC
March 27, 2001 - May 16, 2002
CITIGROUP GLOBAL MARKETS INC.
July 16, 1999 - January 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 1988 - September 11, 1990
LEHMAN BROTHERS INC.
August 21, 1985 - March 7, 1988
E. F. HUTTON & COMPANY 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.
