AL
Alex Y. Li
DEUTSCHE BANK SECURITIES
New York, NY 10019
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CRD#: 2771145
AL
Professional summary
Alex Yue-chung Li, who also goes by Alex Y Li, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.
Alex is registered as a RR (Registered Representative) and started their career in finance in 1999. Alex has worked at 5 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 7, Series 42 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex Y Li
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 Alex Yue-chung Li'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
April 21, 2021 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1 Columbus Circle, New York, NY 10019RIA
BD
CRD#: 2525
New York, NY
Past
May 10, 2021 - December 20, 2023
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
April 21, 2015 - February 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 21, 2015 - February 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 29, 2007 - April 17, 2015
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
May 29, 2007 - April 17, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 1, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEW YORK, NY
Past
October 1, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
April 20, 1999 - March 28, 2002
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
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(4/21/2021)
RR
Alaska(4/21/2021)
RR
Arizona(4/21/2021)
RR
Arkansas(4/21/2021)
RR
California(4/21/2021)
RR
Colorado(4/21/2021)
RR
Connecticut(4/21/2021)
RR
Delaware(4/21/2021)
RR
District of Columbia(4/21/2021)
RR
Florida(4/21/2021)
RR
Georgia(4/21/2021)
RR
Hawaii(4/21/2021)
RR
Idaho(4/21/2021)
RR
Illinois(4/21/2021)
RR
Indiana(4/21/2021)
RR
Iowa(4/21/2021)
RR
Kansas(4/21/2021)
RR
Kentucky(4/21/2021)
RR
Louisiana(4/21/2021)
RR
Maine(4/21/2021)
RR
Maryland(4/21/2021)
RR
Massachusetts(4/21/2021)
RR
Michigan(4/21/2021)
RR
Minnesota(4/21/2021)
RR
Mississippi(4/21/2021)
RR
Missouri(4/21/2021)
RR
Montana(4/21/2021)
RR
Nebraska(4/21/2021)
RR
Nevada(4/21/2021)
RR
New Hampshire(4/21/2021)
RR
New Jersey(4/21/2021)
RR
New Mexico(4/21/2021)
RR
New York(4/21/2021)
RR
North Carolina(4/21/2021)
RR
North Dakota(4/21/2021)
RR
Ohio(4/21/2021)
RR
Oklahoma(4/21/2021)
RR
Oregon(4/21/2021)
RR
Pennsylvania(4/21/2021)
RR
Puerto Rico(4/21/2021)
RR
Rhode Island(4/21/2021)
RR
South Carolina(4/21/2021)
RR
South Dakota(4/21/2021)
RR
Tennessee(4/21/2021)
RR
Texas(4/21/2021)
RR
Utah(4/21/2021)
RR
Vermont(4/21/2021)
RR
Virgin Islands(4/21/2021)
RR
Virginia(4/21/2021)
RR
Washington(4/21/2021)
RR
West Virginia(4/21/2021)
RR
Wisconsin(4/21/2021)
RR
Wyoming(4/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 42
Date: 7/27/1999
Registered Options Representative ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 4/30/1999
Limited Representative-Equity Trader ExamSRO 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.
