Stephen M. Raeber
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.
Stephen Mathews Raeber, who also goes by Stephen Mathew Raeber, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1969. Stephen had worked at 10 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 000, Series 1, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - September 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - September 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
July 26, 2002 - January 17, 2003
PERSHING LLC
January 25, 1994 - January 17, 2003
PERSHING LLC
June 1, 1989 - January 28, 1994
KIDDER, PEABODY & CO. INCORPORATED
June 1, 1982 - June 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 20, 1979 - June 8, 1982
J.P. MORGAN SECURITIES LLC
July 9, 1979 - December 26, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 15, 1979 - July 23, 1979
SECURITIES CORPORATION OF IOWA
September 26, 1978 - March 14, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - March 14, 1979
WHITE, WELD & CO. INCORPORATED
July 1, 1969 - March 14, 1979
WHITE, WELD & CO., 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
Series 15
Date: 5/8/1984
Foreign Currency Options ExaminationSeries 5
Date: 5/13/1983
Interest Rate Options ExaminationPC
Date: 7/1/1979
AMEX Put and Call ExamSeries 000
Date: 2/7/1966
General Securities Principal ExaminationSeries 1
Date: 2/7/1966
Registered Representative ExaminationSeries 00
Date: 9/27/1972
General Securities Principal ExaminationSeries 12
Date: 11/8/1967
NYSE Branch Manager 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 | 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.
