Joshua C. Romisher
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.
Joshua C Romisher, who also goes by Joshua Corey Romisher, Joshua Cory Romisher, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2004. Joshua had worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - July 6, 2015
CREDIT SUISSE SECURITIES (USA) LLC
November 9, 2009 - July 6, 2015
CREDIT SUISSE SECURITIES (USA) LLC
May 7, 2009 - September 17, 2009
BRAVER STERN SECURITIES LLC
May 15, 2006 - May 6, 2009
CREDIT SUISSE SECURITIES (USA) LLC
May 15, 2006 - May 6, 2009
CREDIT SUISSE SECURITIES (USA) LLC
April 23, 2004 - May 26, 2006
UBS FINANCIAL SERVICES 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 | 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.
