Cheri L. Heyse
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.
Cheri Leigh Heyse was a registered financial professional .
Cheri is a previously registered financial professional and started their career in finance in 2007. Cheri had worked at 6 firms and has passed the Series 63, SIE 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
April 28, 2020 - December 15, 2021
CREDIT SUISSE SECURITIES (USA) LLC
February 17, 2020 - March 9, 2020
NUVEEN SECURITIES, LLC
September 8, 2017 - March 20, 2018
UBS SECURITIES LLC
July 31, 2009 - June 30, 2016
UBS SECURITIES LLC
October 1, 2008 - April 23, 2009
J.P. MORGAN SECURITIES LLC
June 20, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
May 14, 2007 - June 5, 2007
COLLINS STEWART 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.
