Salmaan T. Siddiqui
Professional summary
Salmaan T Siddiqui was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Salmaan is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Salmaan had worked at 6 firms, which includes CREDIT SUISSE SECURITIES (USA) LLC, B. RILEY SECURITIES INC., RBC CAPITAL MARKETS LLC, WILLIAM R. HOUGH & CO., J.P. MORGAN SECURITIES INC., JPMSI.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2006 - April 17, 2008
CREDIT SUISSE SECURITIES (USA) LLC
May 10, 2004 - July 21, 2006
B. RILEY SECURITIES, INC.
February 27, 2004 - May 18, 2004
RBC CAPITAL MARKETS, LLC
August 20, 2002 - February 27, 2004
WILLIAM R. HOUGH & CO.
February 12, 2001 - November 28, 2001
J.P. MORGAN SECURITIES INC.
June 21, 2000 - February 12, 2001
JPMSI
State Registrations and Notice Filings
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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
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