Jason D. Muncy
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.
Jason David Muncy, who also goes by Jason D Muncy, Jason Muncy, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2012 - March 9, 2017
CREDIT SUISSE SECURITIES (USA) LLC
May 2, 2011 - May 18, 2012
KGS-ALPHA CAPITAL MARKETS, L.P.
May 20, 2010 - May 25, 2011
ALADDIN CAPITAL LLC
August 7, 2006 - April 30, 2010
BARCLAYS CAPITAL INC.
October 25, 2005 - August 8, 2006
GE CAPITAL MARKETS, INC.
November 20, 2002 - June 8, 2005
CITIGROUP GLOBAL MARKETS INC.
October 20, 1997 - December 9, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 | 336 |
| 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.
