Trace A. Urdan
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.
Trace Adair Urdan was a registered financial professional .
Trace is a previously registered financial professional and started their career in finance in 1999. Trace had worked at 9 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2015 - August 8, 2017
CREDIT SUISSE SECURITIES (USA) LLC
April 5, 2012 - July 15, 2015
WELLS FARGO SECURITIES, LLC
August 8, 2011 - April 3, 2012
B. RILEY WEALTH MANAGEMENT
July 10, 2006 - August 4, 2011
SIGNAL HILL CAPITAL GROUP LLC
September 13, 2004 - April 5, 2006
ROBERT W. BAIRD & CO. INCORPORATED
January 18, 2002 - September 2, 2004
THINKEQUITY LLC
March 9, 2000 - December 5, 2001
W.R. HAMBRECHT + CO., LLC
June 7, 1999 - April 10, 2000
DEUTSCHE BANK SECURITIES INC.
January 6, 1999 - June 7, 1999
DB ALEX. BROWN 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 62
Date: 1/5/1999
Corporate Securities Limited Representative ExaminationCurrent 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.
