Lisa M. Mcgeough
Professional summary
Lisa M Mcgeough, who also goes by Lisa Marie Mcgeough, Lisa Mitchell Mcgeough, Lisa Marie Mitchell, Lisa Mcgeough, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1984. Lisa has worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 15, Series 5, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa M Mcgeough's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2026 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1 Columbus Circle, New York, NY 10019April 3, 2025 - January 29, 2026
HSBC SECURITIES (USA) INC.
April 5, 2005 - May 24, 2021
WELLS FARGO SECURITIES, LLC
September 4, 2003 - April 5, 2005
MORGAN STANLEY DW INC.
March 13, 1997 - September 11, 2003
MORGAN STANLEY & CO. LLC
September 15, 1995 - March 5, 1997
TD SECURITIES (USA) LLC
July 10, 1987 - January 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1984 - June 24, 1987
SALOMON BROTHERS INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 12/26/1985
Foreign Currency Options ExaminationSeries 5
Date: 11/12/1985
Interest Rate Options ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
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.
