Stephen P. Cropper
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 P Cropper, who also goes by Stephen P Cropper, Stephen Cropper, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 3 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2018 - February 3, 2020
CREDIT SUISSE SECURITIES (USA) LLC
April 14, 2010 - September 13, 2011
UBS SECURITIES LLC
August 3, 2009 - March 26, 2010
FIRST NEW YORK SECURITIES L.L.C.
May 7, 2008 - July 2, 2009
BARCLAYS CAPITAL INC.
September 27, 2006 - May 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2006 - September 29, 2006
FAM DISTRIBUTORS, INC.
March 19, 2003 - August 4, 2003
MORGAN STANLEY DW INC.
July 8, 2002 - August 4, 2003
MORGAN STANLEY DW 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 | 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.
