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Steven D. Sison

DEUTSCHE BANK SECURITIES
JACKSONVILLE, FL 32256
Some features on this profile are disabled
CRD#: 1305771
SS

Professional summary

Steven Douglas Sison, who also goes by Steven Sison, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in Jacksonville, Florida.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Sison

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Douglas Sison's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 12, 2022 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256
RIA
BD
CRD#: 2525
JACKSONVILLE, FL
Past

May 21, 2018 - June 6, 2022

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
JACKSONVILLE, FL
Past

January 30, 2013 - September 1, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
JACKSONVILLE, FL
Past

August 29, 2011 - July 13, 2012

WSA FIXED INCOME, LLC

BD
CRD#: 145544
NEW YORK, NY
Past

June 3, 2005 - July 26, 2011

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

October 6, 2004 - May 3, 2006

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

May 4, 2000 - May 24, 2001

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

July 9, 1996 - May 24, 2001

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 9, 1996 - October 1, 2004

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

January 17, 1995 - February 6, 1996

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

February 5, 1993 - October 20, 1994

SANWA UNIVERSAL SECURITIES CO., LLC

BD
CRD#: 8427
NEW YORK, NY
Past

October 20, 1992 - October 20, 1994

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY
Past

October 25, 1990 - October 13, 1992

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

July 25, 1987 - August 23, 1990

BNY SECURITIES, INC.

BD
CRD#: 19712

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DEUTSCHE BANK SECURITIES INC.
DEUTSCHE BANK SECURITIES INC.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(10/12/2022)
RR
New York
(10/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/1991
National Commodity Futures Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.
DEUTSCHE BANK SECURITIES INC.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 Columbus Circle, New York, NY 10019
Mailing Address
1 Columbus Circle, New York, NY 10019
Phone number
(212) 250-2500
Established
Delaware since 12/29/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,788

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DBSI RESEARCH SERVICES (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
DB U.S. FINANCIAL MARKETS HOLDING CORPORATIONSTOCKHOLDER
LEONARD, CHRISTOPHERCHIEF EXECUTIVE OFFICER & PRESIDENT5748580
MASSARO, TIBERIODIRECTOR/CHIEF FINANCIAL OFFICER/FINOP1847137
NAPPER, GLEENNIA TCHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER6161268
PETRUCCELLI, DOMINICK IIICHIEF RISK OFFICER8018800
SANTORE, DAVIDCHIEF LEGAL OFFICER7987270
STUCCHIO, ANTHONYCHIEF OPERATIONS OFFICER AND DIRECTOR2198592
TIGER, SEBASTIAN BENJAMINCHIEF COMPLIANCE OFFICER2266287

Disclosures

Regulatory Event291
Civil Event3
Arbitration13

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.

Company Information

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525Jacksonville, FL 32256

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