John Maravilla
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.
John Maravilla, who also goes by John Dexter Maravilla, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 12 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - October 12, 2020
DEUTSCHE BANK SECURITIES INC.
June 21, 2017 - December 22, 2017
MORGAN STANLEY & CO. LLC
August 24, 2015 - November 23, 2016
DEUTSCHE BANK SECURITIES INC.
March 14, 2013 - April 21, 2015
UBS SECURITIES LLC
March 30, 2010 - March 27, 2013
BARCLAYS CAPITAL INC.
October 24, 2008 - March 22, 2010
J.P. MORGAN SECURITIES LLC
May 29, 2007 - March 20, 2008
CITIGROUP GLOBAL MARKETS INC.
September 26, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 1, 2004 - December 5, 2005
EQUITABLE DISTRIBUTORS, LLC
June 24, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 24, 1999 - September 1, 2006
EQUITABLE ADVISORS, LLC
December 11, 1998 - February 11, 1999
ADVEST, INC.
September 25, 1998 - October 6, 1998
J. P. GIBBONS & CO., 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
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationSeries 52TO
Date: 3/15/2022
Municipal Securities Representative ExaminationCurrent 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.
