Michael J. Mauboussin
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.
Michael Jacques Mauboussin, who also goes by Mike Mauboussin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2013 - July 11, 2017
CREDIT SUISSE SECURITIES (USA) LLC
December 1, 2005 - January 11, 2013
FRANKLIN DISTRIBUTORS, LLC
May 6, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 25, 1992 - March 19, 2004
CREDIT SUISSE SECURITIES (USA) LLC
July 29, 1991 - May 1, 1992
NATWEST SECURITIES CORPORATION
October 2, 1989 - August 5, 1991
NOMURA SECURITIES INTERNATIONAL, INC.
November 25, 1987 - January 20, 1989
DREXEL BURNHAM LAMBERT 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.
