Steven B. Morowitz
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.
Steven Barry Morowitz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 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
November 29, 2010 - April 4, 2016
DEUTSCHE BANK SECURITIES INC.
June 30, 2009 - December 3, 2010
J.P. MORGAN SECURITIES LLC
June 26, 2009 - December 3, 2010
J.P. MORGAN SECURITIES LLC
May 11, 2007 - May 1, 2009
LEUCADIA ASSET MANAGEMENT LLC
July 24, 2003 - December 31, 2005
LEUCADIA ASSET MANAGEMENT LLC
July 24, 2002 - May 1, 2009
JEFFERIES LLC
April 19, 2001 - August 13, 2002
UBS FINANCIAL SERVICES INC.
February 23, 2001 - August 13, 2002
UBS FINANCIAL SERVICES INC.
June 29, 1998 - March 7, 2001
UBS SECURITIES LLC
February 20, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 28, 1993 - March 3, 1998
UBS FINANCIAL SERVICES INC.
February 21, 1990 - July 1, 1993
CITIGROUP GLOBAL MARKETS INC.
June 4, 1986 - March 17, 1990
LEHMAN BROTHERS INC.
May 21, 1985 - June 23, 1986
ADVEST, 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
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.
