Marc S. Stevens
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.
Marc Stuart Stevens was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1993. Marc had worked at 10 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
October 28, 2014 - June 9, 2016
CREDIT SUISSE SECURITIES (USA) LLC
September 7, 2012 - October 15, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2009 - September 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
March 4, 2009 - June 4, 2009
UBS FINANCIAL SERVICES INC.
July 10, 2006 - March 16, 2009
CREDIT SUISSE SECURITIES (USA) LLC
May 11, 2005 - June 27, 2006
J.P. MORGAN SECURITIES LLC
November 16, 2001 - January 8, 2004
J.P. MORGAN SECURITIES LLC
February 1, 2000 - November 30, 2001
J.P. MORGAN SECURITIES INC.
July 31, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
September 22, 1997 - February 23, 1998
LPL FINANCIAL LLC
July 26, 1994 - September 25, 1997
BA INVESTMENT SERVICES, INC.
May 10, 1993 - October 4, 1993
IDS LIFE INSURANCE COMPANY
May 10, 1993 - October 4, 1993
AMERIPRISE FINANCIAL SERVICES, 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
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.
