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Nicholas Larocca

Credit Suisse Securities (usa) LLC

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About Nicholas Larocca

Nicholas Larocca is an investment professional with over 15 years of experience. Nicholas is currently registered with Credit Suisse Securities (usa) LLC and is a Series 24 and Series 7 licensed professional. Nicholas is also licensed to conduct business in New York. Previously, Nicholas was employed with BGC FINANCIAL, L.P. and Nomura Securities International, Inc.

Firm Information

Nicholas Larocca is currently registered with Credit Suisse Securities (usa) LLC. Credit Suisse Securities (USA) LLC is a Limited Liability Company formed in 2003 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states. They provide portfolio management for pooled investment vehicles and have $805,275,346 in regulatory assets under management. The firm's website is HTTP://WWW.CREDIT-SUISSE.COM.
Credit Suisse Securities (usa) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

$805.28M

Assets Under Management

Not reported

Total Clients

64

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

Transaction-based fee

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Nicholas Larocca’s Registration & Firm History

NY

09/03/2013 - Present

Credit Suisse Securities (usa) LLC (NEW YORK NY)

NY

03/07/2013 - 12/20/2013

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

08/16/2001 - 10/19/2006

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/17/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/16/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/2015

Series 7 - General Securities Representative Examination

BC

Issued 03/05/2013

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Nicholas Larocca. Review regulatory record here.
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