Francis A. Preite
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.
Francis Anthony Preite, who also goes by Frank Preite, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1988. Francis had worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2020 - January 13, 2023
CREDIT SUISSE SECURITIES (USA) LLC
December 6, 2016 - April 11, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
July 23, 2010 - February 15, 2016
BARCLAYS CAPITAL INC.
June 21, 1993 - April 16, 2010
CREDIT SUISSE SECURITIES (USA) LLC
August 23, 1991 - June 1, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 25, 1988 - May 23, 1989
GRUNTAL & CO., L.L.C.
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 8
Date: 3/10/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
