Venkat Kommineni
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.
Venkat Kommineni was a registered financial professional .
Venkat is a previously registered financial professional and started their career in finance in 2002. Venkat had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 86, Series 87, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2021 - October 13, 2022
CREDIT SUISSE SECURITIES (USA) LLC
July 11, 2019 - June 29, 2021
MIZUHO SECURITIES USA LLC
November 4, 2015 - October 18, 2018
JANNEY MONTGOMERY SCOTT LLC
July 16, 2014 - November 3, 2015
DEUTSCHE BANK SECURITIES INC.
September 9, 2013 - July 2, 2014
MACQUARIE CAPITAL (USA) INC.
October 15, 2007 - April 27, 2011
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 27, 2011
CITIGROUP GLOBAL MARKETS INC.
July 28, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 13, 2002 - August 14, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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.
