Deborah L. Grist
Professional summary
Deborah Lynn Grist was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Deborah is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Deborah had worked at 4 firms, which includes CREDIT SUISSE SECURITIES (USA) LLC, PERSHING LLC, MESIROW FINANCIAL INC., ALLSTATE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2000 - August 21, 2001
CREDIT SUISSE SECURITIES (USA) LLC
August 5, 1996 - August 20, 2001
PERSHING LLC
September 28, 1995 - August 7, 1996
MESIROW FINANCIAL, INC.
May 15, 1995 - October 30, 1995
ALLSTATE 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.
