Paul D. Caseiras
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.
Paul David Caseiras, who also goes by Paul D Caseiras, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - March 11, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 26, 2006 - February 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 2000 - February 16, 2006
LEHMAN BROTHERS INC.
September 20, 2000 - November 3, 2000
BOSTON PARTNERS SECURITIES, L.L.C.
September 25, 1997 - November 4, 1998
RENCAP SECURITIES, INC.
August 1, 1996 - February 14, 1997
CITICORP SECURITIES, INC.
November 12, 1992 - June 19, 1996
CITICORP SECURITIES, 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.
