John N. Duffin

DEUTSCHE BANK SECURITIES

New York, NY 10019

CRD#: 2309815

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Professional summary

John Neumann Duffin, who also goes by John N Duffin, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John N Duffin

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) - BD

Click below to view John Neumann Duffin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 16, 2026 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 1 Columbus Circle, New York, NY 10019

RIA

CRD#: 2525

New York, NY

Past

April 4, 2013 - May 20, 2014

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

November 20, 2007 - February 3, 2012

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

May 1, 2001 - May 10, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 8, 1999 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 24, 1993 - October 20, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, 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: 2/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 4/15/2026

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 4/8/2026

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2014

General Securities Principal Examination

SRO Registrations

FINRA

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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John N. Duffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Neumann Duffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTESA SANPAOLO IMI SECURITIES CORP.

COMMERZ MARKETS LLC

J.P. MORGAN SECURITIES INC.

JPMSI

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/23/1999

Series 99TO

Date: 4/15/2026

SIE

Date: 4/8/2026

Series 7

Date: 12/28/1998

Series 24

Date: 3/31/2014

FINRA

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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