Patricia J. Shergur
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Jean Shergur, who also goes by Patty Shergur, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2013 - July 1, 2013
DEUTSCHE BANK SECURITIES INC.
April 15, 2013 - July 1, 2013
DEUTSCHE BANK SECURITIES INC.
June 1, 2009 - February 16, 2012
MORGAN STANLEY
June 1, 2009 - February 16, 2012
MORGAN STANLEY
February 8, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 7, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 22, 1983 - January 18, 1994
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
