MB
Michael J. Barrett
DEUTSCHE BANK SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2432061
MB
Professional summary
Michael Joseph Barrett, who also goes by Michael J Barrett, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in Miami, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael J Barrett
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 Michael Joseph Barrett'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
March 18, 2021 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 600 Brickell Avenue Suite 2050, Miami, FL 33131RIA
BD
CRD#: 2525
Miami, FL
Past
March 20, 2021 - December 18, 2023
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
February 25, 2016 - November 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOSTON, MA
Past
February 25, 2016 - November 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOSTON, MA
Past
January 3, 2014 - March 15, 2016
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
BOSTON, MA
Past
January 3, 2014 - March 15, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
BOSTON, MA
Past
July 5, 2012 - January 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEWTON, MA
Past
March 31, 2011 - January 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEWTON, MA
Past
May 12, 2008 - April 6, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
BOSTON, MA
Past
March 10, 2006 - May 19, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOSTON, MA
Past
November 4, 2003 - March 16, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
WELLESLEY HILLS, MA
Past
March 9, 2002 - March 16, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
August 21, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
October 14, 1999 - July 3, 2000
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 15, 1998 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
May 23, 1995 - October 18, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 10, 1994 - May 3, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
January 25, 1994 - February 28, 1994
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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(3/18/2021)
RR
Alaska(3/18/2021)
RR
Arizona(3/18/2021)
RR
Arkansas(3/18/2021)
RR
California(3/18/2021)
RR
Colorado(3/18/2021)
RR
Connecticut(3/18/2021)
RR
Delaware(3/18/2021)
RR
District of Columbia(3/18/2021)
RR
Florida(3/18/2021)
RR
Georgia(3/18/2021)
RR
Hawaii(3/18/2021)
RR
Idaho(3/18/2021)
RR
Illinois(3/18/2021)
RR
Indiana(3/18/2021)
RR
Iowa(3/18/2021)
RR
Kansas(3/18/2021)
RR
Kentucky(3/18/2021)
RR
Louisiana(3/18/2021)
RR
Maine(3/18/2021)
RR
Maryland(3/18/2021)
RR
Massachusetts(3/18/2021)
RR
Michigan(3/18/2021)
RR
Minnesota(3/18/2021)
RR
Mississippi(3/18/2021)
RR
Missouri(3/18/2021)
RR
Montana(3/18/2021)
RR
Nebraska(3/18/2021)
RR
Nevada(3/18/2021)
RR
New Hampshire(3/18/2021)
RR
New Jersey(3/18/2021)
RR
New Mexico(3/18/2021)
RR
New York(3/18/2021)
RR
North Carolina(3/18/2021)
RR
North Dakota(3/18/2021)
RR
Ohio(3/18/2021)
RR
Oklahoma(3/18/2021)
RR
Oregon(3/18/2021)
RR
Pennsylvania(3/18/2021)
RR
Puerto Rico(3/18/2021)
RR
Rhode Island(3/18/2021)
RR
South Carolina(3/18/2021)
RR
South Dakota(3/18/2021)
RR
Tennessee(3/18/2021)
RR
Texas(3/18/2021)
RR
Utah(3/18/2021)
RR
Vermont(3/18/2021)
RR
Virgin Islands(3/18/2021)
RR
Virginia(3/18/2021)
RR
Washington(3/18/2021)
RR
West Virginia(3/18/2021)
RR
Wisconsin(3/18/2021)
RR
Wyoming(3/18/2021)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525Miami, FL 33131TRUST BUT VERIFY
Monitor Michael Barrett
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
