Catherine C. Steinthal
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.
Catherine Connolly Steinthal was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1999. Catherine had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
August 28, 2006 - November 4, 2015
CREDIT SUISSE SECURITIES (USA) LLC
August 28, 2006 - November 4, 2015
CREDIT SUISSE SECURITIES (USA) LLC
November 18, 2005 - July 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2005 - July 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2005 - December 12, 2005
ADVEST, INC.
November 25, 2002 - October 4, 2004
QUICK & REILLY, INC.
October 28, 1999 - October 4, 2004
QUICK & REILLY, INC.
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.
