Michael P. Healy
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.
Michael P Healy, who also goes by Michael Healy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 21, Series 25 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
March 3, 2008 - October 11, 2016
CREDIT SUISSE SECURITIES (USA) LLC
September 21, 2004 - March 19, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 30, 2004 - March 19, 2008
REDI GLOBAL TECHNOLOGIES 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
Series 55
Date: 3/30/2013
Limited Representative-Equity Trader ExamSeries 21
Date: 8/25/2005
NYSE Front Line Specialist ClerkSeries 25
Date: 1/6/2005
NYSE Trading Assistant 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.
