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DH

David M. Harris

Some features on this profile are disabled
CRD#: 1584332
DH

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.

David M Harris was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 23, 2009 - October 24, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 1, 2001 - January 17, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 28, 1990 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

September 28, 1990 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

September 28, 1990 - June 14, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 18, 1986 - April 24, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 2525

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