Daniel Vaysleyb
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.
Daniel Vaysleyb, who also goes by Dan Vaysleyb, Daniel A Vaysleyb, Daniel Nmn Vaysleyb, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 82TO, Series 52TO, Series 22TO, SIE, 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
October 12, 2023 - November 14, 2024
CREDIT SUISSE SECURITIES (USA) LLC
September 1, 2023 - November 14, 2024
CREDIT SUISSE SECURITIES (USA) LLC
July 15, 2013 - April 4, 2022
RBC CAPITAL MARKETS, LLC
July 12, 2013 - April 4, 2022
RBC CAPITAL MARKETS, LLC
May 29, 2012 - October 23, 2018
ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED
April 24, 2008 - August 30, 2011
UBS FINANCIAL SERVICES INC.
December 18, 2007 - August 30, 2011
UBS FINANCIAL SERVICES INC.
March 10, 2006 - December 14, 2007
EMPOWER 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
Series 99TO
Date: 9/1/2023
Operations Professional ExaminationSeries 82TO
Date: 9/1/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 9/1/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 9/1/2023
Direct Participation Programs Representative 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 | 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.
