DEUTSCHE BANK SECURITIES INC.
Adviser information for DEUTSCHE BANK SECURITIES INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 1664 |
|---|---|
| Investment Advisory/Research | 149 |
| Registered Broker-Dealer Representatives | 1304 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | EQUITY & DEBT RESEARCH, MACRO RESEARCH, QUANT STRATEGY, MULTI- ASSET RESEARCH, CATALYST CALLS |
|---|---|
| Compensation | HARD DOLLAR PAYMENTS FOR RESEARCH |
| Other Business Activities | Broker-dealerFutures commission merchant |
Identifiers
| SEC RIA File Number | 801-9638 |
|---|---|
| SEC ERA File Number | 801-9638 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 2525 |
| Legal Entity Identifier | None |
Principal Office
1 COLUMBUS CIRCLENEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-250-2500, Fax: N/A
Websites
Chief Compliance Officer
JONNY BANKS
MANAGING DIRECTOR
1 COLUMBUS CIRCLE
NEW YORK
NY
United States
Tel:
212-250-5746
J**********@*****M
(Full email address available in API data)
Regulatory Contact
CHAD TROESTER
VICE PRESIDENT
5201 GATE PARKWAY
JACKSONVILLE
FL
United States
Tel:
(904) 645-4923
C************@*****M
(Full email address available in API data)
Industry Affiliates
| DBX ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DEUTSCHE BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionTrust companySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| DEUTSCHE BANK NATIONAL TRUST COMPANY | Trust company |
| DEUTSCHE BANK TRUST COMPANY AMERICAS | Banking or thrift institutionTrust company |
| DEUTSCHE BANK TRUST COMPANY, N.A. | Trust company |
| DWS DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | Domestic Entity | – | STOCKHOLDER | 12/1987 | > 75% |
| DEUTSCHE BANK AG | Foreign Entity | DB USA CORPORATION | SHAREHOLDER | 05/1999 | > 75% |
| DB USA CORPORATION | Domestic Entity | DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | SHAREHOLDER | 09/2000 | > 75% |
| STUCCHIO, ANTHONY | Individual | – | CHIEF OPERATIONS OFFICER AND DIRECTOR | 04/2009 | < 5% |
| MASSARO, TIBERIO | Individual | – | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 02/2015 | < 5% |
| GREEN, CHARLES ERWIN JR | Individual | – | DIRECTOR | 06/2018 | < 5% |
| MONTEIRO, JASON ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 01/2022 | < 5% |
| BANKS, JONATHAN DOMINIC | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| FARRY, JOHN LEO | Individual | – | GENERAL COUNSEL | 12/2023 | < 5% |
| LEONARD, CHRISTOPHER | Individual | – | CHIEF EXECUTIVE OFFICER & PRESIDENT | 03/2024 | < 5% |