Christopher J. Zias
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.
Christopher J Zias, CFP®, CIMA®, who also goes by Chris J Zias, Chris James Zias, Christopher James Zias, Christos Zias, Christopher Zias, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2014
Experience
September 9, 2021 - October 3, 2023
DEUTSCHE BANK SECURITIES INC.
September 8, 2021 - October 3, 2023
DEUTSCHE BANK SECURITIES INC.
August 19, 2011 - July 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2011 - July 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2008 - October 7, 2009
HSBC SECURITIES (USA) INC.
January 28, 2008 - October 7, 2009
HSBC SECURITIES (USA) INC.
May 29, 2007 - August 9, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - August 9, 2007
CITIGROUP GLOBAL MARKETS INC.
September 17, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
September 25, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 12, 2001 - August 26, 2003
CMS INVESTMENT RESOURCES, LLC
April 8, 1999 - March 5, 2001
JULIUS BAER SECURITIES INC.
December 18, 1998 - February 24, 1999
CITIGROUP GLOBAL MARKETS INC.
June 12, 1995 - December 18, 1998
CITICORP SECURITIES, INC.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
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.
