Richard F. Saracino
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.
Richard Francis Saracino, who also goes by Rich Saracino, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 24 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
December 1, 2015 - May 11, 2023
CREDIT SUISSE SECURITIES (USA) LLC
June 19, 2012 - October 1, 2015
HARRIS WILLIAMS
May 21, 2012 - October 1, 2015
PNC CAPITAL MARKETS LLC
September 20, 2011 - May 1, 2012
CREWE CAPITAL
February 28, 2007 - May 1, 2012
AVALON SECURITIES, LTD.
April 20, 1998 - March 11, 2005
MAPLE SECURITIES U.S.A. INC.
August 21, 1991 - January 6, 1992
ST PARTNERS
March 28, 1991 - November 10, 1995
SIERRA TRADING GROUP, L.P.
May 1, 1986 - February 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 1/18/2000
Limited Representative-Equity Trader ExamCurrent 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.
