Barbara R. Weiss
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.
Barbara Ronnie Weiss was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1980. Barbara had worked at 11 firms and has passed the Series 63 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
November 3, 2000 - April 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
February 7, 1997 - January 17, 2003
PERSHING LLC
November 26, 1996 - February 6, 1997
CITIGROUP GLOBAL MARKETS INC.
August 26, 1996 - November 19, 1996
LADENBURG THALMANN & CO. INC.
March 1, 1993 - August 14, 1996
UBS FINANCIAL SERVICES INC.
August 7, 1992 - November 4, 1992
CITIGROUP GLOBAL MARKETS INC.
July 13, 1992 - August 18, 1992
MUTUAL SECURITIES, INC.
December 15, 1988 - September 21, 1990
SHEFFIELD INVESTMENTS, INC.
February 8, 1988 - June 22, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
January 29, 1988 - February 18, 1988
CIBC WORLD MARKETS CORP.
November 6, 1985 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
April 22, 1985 - October 11, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
January 31, 1984 - September 10, 1984
FIRST AFFILIATED SECURITIES, INC.
July 25, 1983 - September 13, 1984
MUTUAL SECURITIES, INC.
January 22, 1983 - December 9, 1983
FIRST AFFILIATED SECURITIES, INC.
May 22, 1980 - January 3, 1983
UBS 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
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.
