Michael David Deeg
Professional Summary
Michael David Deeg, who also goes by Mike Deeg, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1994 - 2022. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Deeg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
CREDIT SUISSE FIRST BOSTON | CS FIRST BOSTON CORPORATION | CREDIT SUISSE SECURITIES (USA) LLC | CREDIT SUISSE SECURITIES | CREDIT SUISSE FIRST BOSTON LLC | CREDIT SUISSE FIRST BOSTON CORPORATION
Contact Information
Main Address
11 Madison Avenue, New York, NY 10010Mailing Address
11 Madison Avenue 9th Floor, New York, NY 10010Phone Number
(212) 325-2000Established
Delaware since 01/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
39Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
20AUM (Assets Under Management)
$805,275,346Disclosures
Regulatory Event
336Civil Event
8Arbitration
10Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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