Michael D. Deeg
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.
Michael David Deeg, who also goes by Mike Deeg, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2015 - July 27, 2022
CREDIT SUISSE SECURITIES (USA) LLC
August 7, 2013 - June 1, 2015
BALTRA CAPITAL LLC
September 16, 2010 - August 30, 2012
HSBC SECURITIES (USA) INC.
March 11, 2009 - September 16, 2010
BARCLAYS CAPITAL INC.
October 6, 2004 - February 12, 2009
BARCLAYS CAPITAL INC.
July 6, 2000 - August 9, 2004
DEUTSCHE BANK SECURITIES INC.
August 31, 1994 - May 8, 2000
GOLDMAN SACHS & CO. 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
Series 8
Date: 3/23/1995
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.
