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AS

Anthony Stucchio

Some features on this profile are disabled
CRD#: 2198592
AS

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.

Anthony Stucchio, who also goes by Tony Stucchio, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1991. Anthony had worked at 5 firms and has passed the SIE, Series 99TO and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Stucchio

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

April 22, 2009 - February 7, 2012

DB SECURITIES SERVICES NJ INC.

BD
CRD#: 142775
JERSEY CITY, NJ
Past

April 7, 2009 - April 7, 2026

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

November 27, 1991 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

November 27, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

November 27, 1991 - February 25, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/6/2009
Financial and Operations Principal Examination

Current Firm

DS
DB SECURITIES SERVICES NJ INC.
DB SECURITIES SERVICES NJ INC.

CRD#: 142775 / SEC#: , 8-67490

BD
Terminated by SEC on 03/04/2012
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/21/2006
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEUTSCHE BANK SECURITIES INC.STOCKHOLDER
AXELROD, MARK ELLIOTCHIEF EXECUTIVE OFFICER1335937
CHEN, MARYCHIEF FINANCIAL OFFICER/FINOP2540220
GERLICH, RUDOLPH MAX JR.CHIEF COMPLIANCE OFFICER2746180
POLIZZOTTO, JOSEPHCHIEF LEGAL OFFICER4730994
STUCCHIO, ANTHONYDIRECTOR/CHIEF OPERATIONS OFFICER2198592

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

DB SECURITIES SERVICES NJ INC.

CRD#: 142775

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