Julius E. Simonini
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.
Julius Emanuel Simonini, who also goes by Julius Emmanuel Simonini, was a registered financial advisor .
Julius is a previously registered financial advisor and started their career in finance in 1970. Julius had worked at 8 firms and has passed the Series 65, Series 63, PC and Series 1 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 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - September 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
August 1, 2002 - January 17, 2003
PERSHING LLC
February 7, 2001 - January 17, 2003
PERSHING LLC
June 26, 1984 - February 23, 2001
LEHMAN BROTHERS INC.
September 26, 1978 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
April 20, 1972 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
September 29, 1970 - August 20, 1972
BACHE & 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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 9/17/1970
Registered 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.
