Heather A. Lawless

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CRD#: 2199612

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.

Heather Anne Lawless was a registered financial professional .

Heather is a previously registered financial professional and started their career in finance in 1993. Heather had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

March 21, 2003 - January 26, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 30, 2000 - March 6, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 27, 1999 - May 17, 2000

INTERCAPITAL SECURITIES LLC

CRD#: 20004

JERSEY CITY, NJ

Past

October 27, 1999 - May 17, 2000

ICAP SECURITIES USA LLC

CRD#: 19739

NEW YORK, NY

Past

July 13, 1998 - May 17, 2000

INTERCAPITAL INTERNATIONAL INC.

CRD#: 22109

NEW YORK, NY

Past

December 19, 1996 - July 13, 1998

EXCO RMJ INTERNATIONAL INC.

CRD#: 21287

Past

December 19, 1996 - April 28, 2000

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

NEW YORK, NY

Past

February 14, 1994 - November 20, 1996

HILLIARD FARBER SECURITIES CORP.

CRD#: 18504

NEW YORK, NY

Past

February 14, 1994 - November 20, 1996

DEALERWEB LLC

CRD#: 19662

JERSEY CITY, NJ

Past

August 7, 1993 - February 10, 1994

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

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

Series 63

Date: 10/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/18/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/10/1993

General Securities Representative 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

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.

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Heather A. Lawless

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

INTERCAPITAL SECURITIES LLC

ICAP SECURITIES USA LLC

INTERCAPITAL INTERNATIONAL INC.

EXCO RMJ INTERNATIONAL INC.

INTERCAPITAL GOVERNMENT SECURITIES INC.

HILLIARD FARBER SECURITIES CORP.

DEALERWEB LLC

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/1993

Series 3

Date: 11/18/2003

Series 7

Date: 9/10/1993

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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