Christina Nielsen
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.
Christina Nielsen, who also goes by Christina Rice, was a registered financial professional .
Christina is a previously registered financial professional and started their career in finance in 1997. Christina had worked at 4 firms and has passed the Series 65, Series 63 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
May 4, 2009 - September 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 2009 - September 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
May 19, 2006 - December 31, 2008
UBS FINANCIAL SERVICES INC.
December 19, 2003 - May 30, 2006
CREDIT SUISSE SECURITIES (USA) LLC
May 29, 2003 - March 31, 2004
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
January 17, 2003 - February 13, 2003
CREDIT SUISSE SECURITIES (USA) LLC
April 23, 1997 - January 17, 2003
PERSHING 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.
