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LG

Lindsay Gong

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CRD#: 6699496
LG

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.

Lindsay Gong was a registered financial professional .

Lindsay is a previously registered financial professional and started their career in finance in 2017. Lindsay had worked at 2 firms and has passed the Series 66, Series 7TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 19, 2019 - July 30, 2021

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

July 18, 2019 - July 30, 2021

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 18, 2018 - May 1, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WASHINGTON, DC
Past

September 18, 2018 - May 1, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WASHINGTON, DC
Past

June 29, 2017 - May 8, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WASHINGTON, DC
Past

May 25, 2017 - May 8, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WASHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/15/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/5/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2017
General Securities Representative Examination

Current Firm

CREDIT SUISSE SECURITIES (USA) LLC
CREDIT SUISSE SECURITIES (USA) LLC
CREDIT SUISSE FIRST BOSTON | CS FIRST BOSTON CORPORATION | CREDIT SUISSE SECURITIES (USA) LLC | CREDIT SUISSE SECURITIES | CREDIT SUISSE FIRST BOSTON LLC | CREDIT SUISSE FIRST BOSTON CORPORATION

CRD#: 816 / SEC#: 801-56264, 8-422

BD
Terminated by SEC on 06/01/2025
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Contact information

Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
11 Madison Avenue 9th Floor, New York, NY 10010
Phone number
(212) 325-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
39

Documents

Latest Form ADV

Part 2 Brochures

CSSU FORM ADV DISCLOSURE BROCHURE (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CREDIT SUISSE (USA) LLCSOLE MEMBER
CREDIT SUISSE GROUP FINANCE (U.S.) LLCMINORITY INTEREST
DIMARCO, PATRICKCHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR4549136
DOSHI, JIGNESH RBOARD MEMBER4936137
WIPF, THOMAS GCHIEF EXECUTIVE OFFICER, BOARD MEMBER1559273

Regulatory assets under management

Total Number of Accounts20
AUM (Assets Under Management)$ 805,275,346

Disclosures

Regulatory Event322
Civil Event8
Arbitration10

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
10/26/2023
Cover Page
Report
01/25/2023
Cover Page
Report

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.

Company Information

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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