Dominic J. Scalzi

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CRD#: 1689662

Professional summary

Dominic John Scalzi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dominic is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Dominic had worked at 6 firms, which includes DEUTSCHE BANK SECURITIES INC., BANC OF AMERICA INVESTMENT SERVICES INC., CAPITAL ONE INVESTMENT SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITICORP INVESTMENT SERVICES, CITICORP FINANCIAL SERVICESINC..

Question & Answer

Are you a "fiduciary"?

Aliases

Dominic J Scalzi | Dominic Scalzi

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

July 10, 2008 - January 29, 2021

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

NEW YORK, NY

Past

October 26, 2006 - January 29, 2021

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 11, 2003 - September 18, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEW YORK, NY

Past

July 11, 2003 - September 18, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

June 21, 2002 - October 10, 2002

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

January 20, 1999 - June 4, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 1, 1992 - October 26, 1998

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

July 30, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

July 21, 1987 - August 23, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

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

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/1995

General Securities Principal Examination

Current Firm

DEUTSCHE BANK SECURITIES INC.

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

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

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)

FINRA licenses (53 States and Territories)

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

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dominic J. Scalzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CAPITAL ONE INVESTMENT SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2003

Series 63

Date: 7/29/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 24

Date: 8/15/1995

Current Firm

DEUTSCHE BANK SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DEUTSCHE BANK SECURITIES INC.

TRUST BUT VERIFY

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