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Details

CREDIT SUISSE SECURITIES USA LLC NFA ID: 0002397

Current Status
• SWAP FIRM APPROVED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
Exemptions and No Actions
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FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsYes
Firm is engaged in retail off-exchange foreign currency futures and/or optionsYes
Regulatory Actions
 AgencyNumber
NFA0
CFTC1
Exchanges67
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
details...
Formerly Known As
• CREDIT SUISSE FIRST BOSTON CORPORATION
• CREDIT SUISSE FIRST BOSTON LLC
• CS FIRST BOSTON CORPORATION
• FIRST BOSTON CORPORATION THE
 
Business Address
ELEVEN MADISON AVENUE
NEW YORK, NY  10010
UNITED STATES
212-325-2000
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
CREDIT SUISSE USA INC YES
JOHN DABBSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
PAULA ANN DOMINICKCHIEF COMPLIANCE OFFICERNO
WILLIAM FRANCIS JR HUGHESHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
TIMOTHY OHARACHIEF EXECUTIVE OFFICERNO
PAUL JOSEPH OKEEFECHIEF FINANCIAL OFFICERNO
MICHAEL JOSEPH PALIOTTAHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
ROBERT SCOTT SHAFIRHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
LEWIS HOWARD WIRSHBACHIEF OPERATING OFFICERNO
History
 Status Effective Date
• COMMODITY TRADING ADVISOR WITHDRAWN02/09/2016 
• COMMODITY POOL OPERATOR WITHDRAWN02/09/2016 
• SWAP FIRM APPROVED01/02/2013 
• SWAP FIRM PENDING12/31/2012 
• COMMODITY TRADING ADVISOR REGISTERED06/13/2012 
• COMMODITY POOL OPERATOR REGISTERED06/13/2012 
• COMMODITY POOL OPERATOR PENDING06/13/2012 
• COMMODITY TRADING ADVISOR PENDING06/13/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED05/10/1993 
• FUTURES COMMISSION MERCHANT REGISTERED04/18/1986 
• FUTURES COMMISSION MERCHANT FAILED TO RENEW03/31/1986 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED06/30/1982 
 
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