Matthew W. Ruderman
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.
Matthew Wayne Ruderman was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 7 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2009 - September 3, 2021
CREDIT SUISSE SECURITIES (USA) LLC
March 24, 2009 - July 14, 2009
BARCLAYS CAPITAL INC.
March 5, 2008 - May 1, 2009
CREDIT SUISSE SECURITIES (USA) LLC
May 1, 2000 - March 5, 2008
CITIGROUP GLOBAL MARKETS INC.
May 1, 1997 - May 1, 2000
SCHRODER & CO. INC.
December 6, 1996 - May 1, 1997
MORGAN STANLEY DW INC.
May 13, 1996 - December 3, 1996
BMO CAPITAL MARKETS CORP.
June 13, 1995 - May 6, 1996
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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.
