Digna B. Adonay-rivera
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.
Digna Bundang Adonay-rivera, who also goes by Digna B Adonay, Digna Adonay, Digna Bundang Adonayrivera, Digna Rivera, was a registered financial professional .
Digna is a previously registered financial professional and started their career in finance in 1994. Digna had worked at 5 firms and has passed the Series 63, Series 7TO, 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
July 29, 2004 - August 25, 2021
CREDIT SUISSE SECURITIES (USA) LLC
February 7, 2001 - July 21, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 1998 - May 11, 2000
CITIGROUP GLOBAL MARKETS INC.
April 24, 1996 - September 1, 1998
SALOMON BROTHERS INC.
March 20, 1995 - March 22, 1996
LEHMAN BROTHERS INC.
July 19, 1994 - March 24, 1995
SALOMON BROTHERS 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
Series 7TO
Date: 12/12/2022
General Securities Representative ExaminationCurrent 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.
