AF
Andrew J. Findling
DEUTSCHE BANK SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 2380427
AF
Professional summary
Andrew J Findling, who also goes by Andrew Jay Findling, Andrew Findling, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Jay Findling | Andrew Findling
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew J Findling's 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®
NoneExperience
Current
August 22, 2014 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1 Columbus Circle, New York, NY 10019RIA
BD
CRD#: 2525
New York, NY
Past
September 16, 2013 - July 16, 2014
C. L. KING & ASSOCIATES, INC.
BD
CRD#: 6183
ALBANY, NY
Past
April 2, 2012 - July 3, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK, NY
Past
December 2, 2010 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
NEW YORK, NY
Past
June 1, 2010 - July 19, 2010
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
October 19, 2009 - June 1, 2010
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
October 23, 1995 - June 26, 2003
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
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.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)BD
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/15/2014)
RR
Alaska(8/26/2014)
RR
Arizona(9/17/2014)
RR
Arkansas(8/26/2014)
RR
California(8/22/2014)
RR
Colorado(8/26/2014)
RR
Connecticut(8/22/2014)
RR
Delaware(8/27/2014)
RR
District of Columbia(8/28/2014)
RR
Florida(8/25/2014)
RR
Georgia(8/22/2014)
RR
Hawaii(9/2/2014)
RR
Idaho(8/25/2014)
RR
Illinois(8/22/2014)
RR
Indiana(8/26/2014)
RR
Iowa(8/26/2014)
RR
Kansas(8/29/2014)
RR
Kentucky(9/10/2014)
RR
Louisiana(9/12/2014)
RR
Maine(8/25/2014)
RR
Maryland(8/28/2014)
RR
Massachusetts(9/15/2014)
RR
Michigan(9/12/2014)
RR
Minnesota(9/24/2014)
RR
Mississippi(8/26/2014)
RR
Missouri(8/22/2014)
RR
Montana(8/25/2014)
RR
Nebraska(8/25/2014)
RR
Nevada(8/27/2014)
RR
New Hampshire(8/25/2014)
RR
New Jersey(8/27/2014)
RR
New Mexico(8/27/2014)
RR
New York(8/26/2014)
RR
North Carolina(8/25/2014)
RR
North Dakota(8/26/2014)
RR
Ohio(8/22/2014)
RR
Oklahoma(8/26/2014)
RR
Oregon(9/12/2014)
RR
Pennsylvania(8/25/2014)
RR
Puerto Rico(8/28/2014)
RR
Rhode Island(8/25/2014)
RR
South Carolina(9/4/2014)
RR
South Dakota(8/25/2014)
RR
Tennessee(8/28/2014)
RR
Texas(9/2/2014)
RR
Utah(8/25/2014)
RR
Vermont(9/24/2014)
RR
Virgin Islands(8/27/2014)
RR
Virginia(8/22/2014)
RR
Washington(9/29/2014)
RR
West Virginia(9/10/2014)
RR
Wisconsin(8/25/2014)
RR
Wyoming(8/25/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DEUTSCHE BANK SECURITIES INC.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)BD
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)
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.
