Deutsche Bank Securities Inc. (New York)

Name: Deutsche Bank Securities Inc.
Address: 345 Park Avenue, New York, NY, 10154
Telephone: 212-250-2500

Deutsche Bank Securities Inc. is a related adviser based in New York. It manages $7.63 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Deutsche Bank Securities provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, publication of newsletters, and security ratings or pricing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Deutsche Bank Securities: assets under management

The assets under management (AUM) of Deutsche Bank Securities Inc. is $7.63 million. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Deutsche Bank Securities has custody of $50.55 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 62% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 38% of the firm’s portfolio. Investments in government bonds form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Deutsche Bank Securities Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Stuart Clarke serves?

The only and largest group of clients of Stuart Clarke is corporations or other businesses with 3 clients and $7.63 million of assets under management. Among the 3 most similar advisory firms, Deutsche Bank Securities has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $7.63 million for 3 clients. 4% of the firm’s clients are foreign persons or businesses.

Deutsche Bank Securities doesn't advise any private funds.

Careers at Deutsche Bank Securities Inc.

The company employs 2,600 people that are either part- or full-time employees. 9 percent of the employees work as investment advisers or researchers. 46 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Stuart Clarke has been acting as President since 1 Mar 2006. James Edward Terris Davies joined the executive team most recently as the Chief Executive Officer & President (Interim).

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Db U.S. Financial Markets Holding Corporation	Stockholder	1 Dec 1987	75% - 100%	13-3131103
Deutsche Bank U.S. Financial Markets Holding Corp.	Stockholder	1 Dec 1987	75% - 100%	13-3131103
Mary Noreen Owen	Chief compliance officer	1 Dec 1998	Other	1024913
Grant Kvalheim	Vice chairman	1 Feb 1999	Other	1568779
Yves Christian Debalmann	Co-chairman/co-chief executive officer	1 Oct 1999	Other	1675429
Mayo A Iii Shattuck	Co-chairman/co-chief executive officer	1 Oct 1999	Other	1464321
John Alan Ross	Director	1 Oct 1999	Other	xxx-xx-xxxx
James Edward Virtue	Director/president	1 Oct 1999	Other	1236163
Thomas John Gavenda	Chief financial officer/finop	1 Jun 2000	Other	2154609
Michael Brian Kiernan	Director/chief operations officer	1 Aug 2000	Other	2091346
George Paul Stamas	Vice chairman	1 Aug 2000	Other	4162291
Margaret Mary Obrien	Srop/institutional	1 Oct 2000	Other	707224
Mark Elliot Paverman	Crop/institutional	1 Oct 2000	Other	1046105
David Michael Dipietro	Director	1 Jan 2001	Other	1574679
Daniel Joseph Donovan	Crop/retail	1 Jan 2001	Other	1163029
Benjamin Howell Iv Griswold	Senior chairman	1 Jan 2001	Other	230465
Stephen Thomas Mitchell	Srop/retail	1 Jan 2001	Other	337099
Kevin Edward Parker	Director	1 Jan 2001	Other	1412389
Thomas S Jr Schweizer	Director	1 Jan 2001	Other	416657
Ernest Robert Cotter	Director	1 Mar 2001	Other	1671989
Seth Harrison Waugh	Chairman/chief executive officer/president	1 Sep 2001	Other	1110987
Thomas James Hughes	Director	1 Nov 2001	Other	1258975
Brian Killefer	Srop/retail	1 Jan 2002	Other	1951407
Charles Geza Vonarentschildt	Director	1 Feb 2002	Other	1434663
David Michael Dipietro	Director	1 Feb 2002	Other	1574679
Patricia Maxine Walch	Chief financial officer/finop (interim)	1 May 2002	Other	2738948
Eugene William Terracciano	Crop (institutional)	1 Oct 2002	Other	1829676
Fred Courtney Croll Crozier	Managing director	1 Nov 2002	Other	1405884
Robert Michael Broughton	Chief financial officer/finop	1 Dec 2002	Other	2137765
Christopher James Mahon	Co chief compliance officer (interim)	1 Dec 2002	Other	2789024
John Joseph Rioux	Co chief compliance officer (interim)	1 Dec 2002	Other	2785158
Richard Raymond Briggs	Crop/retail	1 May 2003	Other	2592596
Martin John Newson	Director	1 Jun 2003	Other	4569761
Marc Jay Pfeffer	Director	1 Jun 2003	Other	2059880
Michael Ray Colon	Director	1 Feb 2004	Other	4675449
Wilfred Eric Gallinek	Chief compliance officer	1 Mar 2004	Other	4669008
Richard Alan Goldsmith	Director	1 May 2004	Other	1531022
Thomas James Gahan	Chief executive officer	1 May 2004	Other	1315264
Robert S Khuzami	Chief legal officer	1 Aug 2004	Other	4866262
Ann Bands Doyle	Head of investment adviser business	1 Oct 2004	Other	3111442
Kenneth W Marcuse	Chief compliance officer for investment adviser	1 Oct 2004	Other	2809471
John Fitzgerald Bohan	Dir./equities	1 Dec 2004	Other	2239106
Charles Geza Vonarentschildt	Director	1 Dec 2004	Other	1434663
Marc Jay Pfeffer	President/chief administrative officer	1 Dec 2004	Other	2059880
Cheryl Ann Geremia	Chief operations officer	1 Apr 2005	Other	2831472
Philip Neil Weingord	Director	1 Apr 2005	Other	2041643
Brian Harper Heidelbach	Crop/retail	1 Sep 2005	Other	2467675
Ralph Michael Mattone	Chief financial officer/finop	1 Dec 2005	Other	1840894
Stuart Clarke	Director	1 Mar 2006	Other	2002754
Robert Brooks Karofsky	Director	1 Apr 2006	Other	1995080
Joanna Lee Fields	Crop (institutional)	1 May 2006	Other	4739921
Monica Reba Harris	Crop/retail	1 Jun 2006	Other	2402377
John Andrew Dudzik	Director	1 Aug 2006	Other	1022773
Joseph R Jr Guarino	Chief compliance for investment adviser	1 Oct 2006	Other	xxx-xx-xxxx
John Jeffrey Whitaker	Principal	1 Oct 2006	Other	4988593
Michael A Sr Burke	Director	1 Jan 2007	Other	1313553
Joseph Anthony Gallino	Crop/retail	1 Dec 2007	Other	1076376
Thomas M Bowers	Director	1 Dec 2007	Other	5144379
Nancy L. Swift	Chief compliance officer for investment adviser	1 Feb 2008	Other	4453281
William Dean Seugling	Head of investment adviser business	1 Mar 2008	Other	2372540
Richard Jan Byrne	Chief executive officer	1 Apr 2008	Other	1414142
Fred Joseph Brettschneider	Director	1 Apr 2008	Other	2418085
Paul David Bray	Chief operations officer	1 Dec 2008	Other	2759742
Joseph Polizzotto	Chief legal officer	1 Mar 2009	Other	4730994
Anthony Stucchio	Chief operations officer	1 Apr 2009	Other	2198592
Vinny Mewalal Sookoo	Chief financial officer/finop (interim)	1 Apr 2009	Other	3035967
Mary Chen	Chief financial officer/finop (interim)	1 Dec 2009	Other	2540220
Michael Barry Bausano	Director/president	1 Dec 2010	Other	1442955
James William Gnall	Director	1 Dec 2010	Other	2559685
Scott Alan Simon	Director	1 Dec 2010	Other	1358198
Jeffrey Alan Mayer	Director	1 Dec 2010	Other	1669852
Patrick J Mckenna	Director	1 Dec 2010	Other	4140777
Robert Anthony Jr Kloby	Chief compliance officer for investment adviser	1 Oct 2011	Other	1299725
Richard W Mr. Ferguson	Director	1 Nov 2011	Other	2692205
Robert Anthony Jr Kloby	Co chief compliance officer - asset & wealth mgt.	1 Jan 2013	Other	1299725
Nancy L. Swift	Co chief compliance officer - corp. banking & securities	1 Jan 2013	Other	4453281
Gerald Haig Ariyan	Director	1 Feb 2013	Other	2326282
Michael Barry Bausano	Chief executive officer	1 Mar 2013	Other	1442955
Mark Albert Hantho	Chairman	1 Apr 2013	Other	2975486
Thomas Harold Jr Patrick	Director	1 Apr 2013	Other	2372257
Wayne Steven Felson	Chief executive officer	1 Apr 2013	Other	2562418
Richard John Herman	Chief executive officer	1 Jun 2014	Other	2383429
Michael Joseph Chepiga	Chief legal officer (interim)	1 Jun 2014	Other	6115233
Wayne Steven Felson	Director	1 Jun 2014	Other	2562418
John Martin Juul	Co-chief compliance officer- corp. banking & securities	1 Jul 2014	Other	2937484
Tiberio Massaro	Chief financial officer/finop	1 Feb 2015	Other	1847137
Steven Frederick Reich	General counsel	1 Apr 2015	Other	6483435
Thomas Patrick Humphrey	Chief executive officer	1 May 2015	Other	1705807
Michael Barry Bausano	Chief executive officer	1 Jan 2016	Other	1442955
Michael Andrew Threadgold	Director	1 Mar 2016	Other	1898448
John Martin Juul	Chief compliance officer	1 Jun 2016	Other	2937484
Jeffrey Alan Roth	Chief compliance officer for investment adviser	1 Jun 2016	Other	xxx-xx-xxxx
Anthony Stucchio	Director	1 Aug 2016	Other	2198592
Prabha Bhandari	General counsel	1 Oct 2017	Other	6885122
Tahsinul Zia Huque	President/chief executive officer	1 May 2018	Other	1703158
Bradley Matthew Kurtzman	Head of equities	1 Jun 2018	Other	4496367
Patrick Martin Campion	Director	1 Jun 2018	Other	4189183
Charles Erwin Jr Green	Director	1 Jun 2018	Other	2939574
Richard Shannon	Director	1 Jun 2018	Other	6700943
Mark J Chen	Head of equity derivatives	1 Apr 2019	Other	4973778
James Edward Terris Davies	Chief executive officer & president (interim)	1 Jun 2019	Other	6122252

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank Americas Holding Corp.	Shareholder	1 Sep 1992	25% - 50%	13-3645372
Deutsche Bank Ag	Shareholder	1 May 1999	75% - 100%	13-2944988
Taunus Corporation	Shareholder	1 Oct 1999	75% - 100%	13-4060471
Db Usa Corporation	Shareholder	1 Sep 2000	75% - 100%	13-4060471
Taunus Corporation	Shareholder	1 Sep 2000	25% - 50%	13-4060471

Based in New York

The principal office where Deutsche Bank Securities Inc. performs its advisory services is located at 345 Park Avenue, New York, NY 10154, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-250-2500 or by fax N/A. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at db.com.