Steven B. Markovitz
Professional summary
Steven Ben Markovitz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Steven had worked at 2 firms, which includes DB ALEX. BROWN LLC, DEUTSCHE BANK SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1998 - September 24, 1999
DB ALEX. BROWN LLC
August 5, 1994 - November 6, 1995
DEUTSCHE BANK SECURITIES INC.
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
DB ALEX. BROWN LLC
CRD#: 17790 / SEC#: , 8-35766
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCHE BANK SECURITIES INC. | MEMBER | 2525 |
| BURGESS, ROBERT WILLIAM JR | MANAGER | 1665805 |
| CONNELLY, JOSEPH MICHAEL JR | MANAGER, CHIEF OPERATIONS OFFICER | 2010897 |
| DEBALMANN, YVES CHRISTIAN | MANAGER, CO-CHIEF EXECUTIVE OFFICER | 1675429 |
| GRISWOLD, BENJAMIN HOWELL IV | MANAGER, SENIOR CHAIRMAN | 230465 |
| JUSTINI, PETER THOMAS | CHIEF FINANCIAL OFFICER/ FINOP | 2097898 |
| KILEY, CHARLES F | MANAGER | 1918304 |
| LAIA, CHRISTOPHER PHILIP | CHIEF COMPLIANCE OFFICER | 2837101 |
| MASON, ALEXANDER TAYLOR | MANAGER | 1960682 |
| ROSS, JOHN ALAN | MANAGER | 1761238 |
| SCHWEIZER, THOMAS S JR | MANAGER | 416657 |
| SHATTUCK, MAYO A III | MANAGER, CO-CHIEF EXECUTIVE OFFICER | 1464321 |
| VIRTUE, JAMES EDWARD | MANAGER, PRESIDENT | 1236163 |
Disclosures
| Regulatory Event | 27 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
