BrokerCheck Help Line (800) 289-9999    Schedule a Call
FINRA Home
  • Individual
  • Firm
at
in
in
By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
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…
CRD#: 816/SEC#: 801-56264,8-422
B
Brokerage Firm Regulated by FINRA (New York district office)
PR
Previously Registered Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
11 MADISON AVENUE
NEW YORK, NY 10010 UNITED STATES
Relationship Summary
Disclosures
335 Total Disclosures
317Regulatory Event8Civil Event10Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 11 MADISON AVENUE
NEW YORK, NY 10010 UNITED STATES
Mailing Address 11 MADISON AVENUE
11TH FLOOR
NEW YORK, NY 10010 UNITED STATES
Phone212-325-2000
Established inDelaware since 01/17/2003
TypeLimited Liability Company
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
CREDIT SUISSE (USA) LLC SOLE MEMBER
CHIODI, MARIA (CRD#: 2163551) GENERAL COUNSEL
CREDIT SUISSE GROUP FINANCE (U.S.) LLC MINORITY INTEREST
DIMARCO, PATRICK (CRD#:4549136) CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR
DOSHI, JIGNESH R (CRD#:4936137) BOARD MEMBER
HASSELL, GARY (CRD#:7720863) HEAD OF OPERATIONS
POWERS, WAYNE J (CRD#:2444741) CHIEF FINANCIAL OFFICER
WIPF, THOMAS G (CRD#:1559273) CHIEF EXECUTIVE OFFICER, BOARD MEMBER
CREDIT SUISSE (USA) LLC
SOLE MEMBER
CHIODI, MARIA (CRD#: 2163551)
GENERAL COUNSEL
CREDIT SUISSE GROUP FINANCE (U.S.) LLC
MINORITY INTEREST
CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR
BOARD MEMBER
HEAD OF OPERATIONS
CHIEF FINANCIAL OFFICER
CHIEF EXECUTIVE OFFICER, BOARD MEMBER
Licenses
53 U.S. States and Territories
B
 Alabama
B
 Alaska
B
 Arizona
B
 Arkansas
B
 California
B
 Colorado
B
 Connecticut
B
 Delaware
B
 District of Columbia
B
 Florida
B
 Georgia
B
 Hawaii
B
 Idaho
B
 Illinois
B
 Indiana
B
 Iowa
B
 Kansas
B
 Kentucky
B
 Louisiana
B
 Maine
B
 Maryland
B
 Massachusetts
B
 Michigan
B
 Minnesota
B
 Mississippi
B
 Missouri
B
 Montana
B
 Nebraska
B
 Nevada
B
 New Hampshire
B
 New Jersey
B
 New Mexico
B
 New York
B
 North Carolina
B
 North Dakota
B
 Ohio
B
 Oklahoma
B
 Oregon
B
 Pennsylvania
B
 Puerto Rico
B
 Rhode Island
B
 South Carolina
B
 South Dakota
B
 Tennessee
B
 Texas
B
 Utah
B
 Vermont
B
 Virgin Islands
B
 Virginia
B
 Washington
B
 West Virginia
B
 Wisconsin
B
 Wyoming
Other Registrations
Federal
SEC
Self-Regulatory Organizations
FINRA
This firm conducts 18 types of business
This firm is affiliated with financial and investment institutions
This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

Click here for more information about how to check on an investment professional.

B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

Use of the BrokerCheck site is subject to
BrokerCheck Terms of Use

©2025 FINRA, All Rights Reserved

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Privacy
Legal