Keith P. Giambruno
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.
Keith Peter Giambruno, who also goes by Keith Peter Giambruno, Keith Giambruno, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2008. Keith had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2020 - August 10, 2021
CREDIT SUISSE SECURITIES (USA) LLC
April 21, 2016 - January 2, 2020
SG AMERICAS SECURITIES, LLC
August 27, 2014 - January 15, 2016
CRT CAPITAL GROUP LLC
June 14, 2010 - May 3, 2013
MORGAN STANLEY & CO. LLC
June 19, 2008 - September 17, 2008
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
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/27/2024
Operations Professional 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.
