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SS

Sergio G. Stiglich

DEUTSCHE BANK SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4047400
SS

Professional summary

Sergio German Stiglich, who also goes by Sergio Stiglich, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in Miami, Florida.

Sergio is registered as a RR (Registered Representative) and started their career in finance in 1999. Sergio has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sergio Stiglich

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sergio German Stiglich's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 18, 2018 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 600 Brickell Avenue Suite 2050, Miami, FL 33131
RIA
BD
CRD#: 2525
Miami, FL
Past

January 28, 2019 - December 18, 2023

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
NEW YORK, NY
Past

November 1, 2010 - April 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MIAMI, FL
Past

March 20, 2003 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
MIAMI, FL
Past

November 23, 1999 - February 18, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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.
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
(5/6/2019)
RR
Alaska
(5/8/2019)
RR
Arizona
(5/7/2019)
RR
Arkansas
(5/7/2019)
RR
California
(5/7/2019)
RR
Colorado
(5/7/2019)
RR
Connecticut
(5/6/2019)
RR
Delaware
(5/15/2019)
RR
District of Columbia
(5/7/2019)
RR
Florida
(9/27/2018)
RR
Georgia
(5/7/2019)
RR
Hawaii
(5/8/2019)
RR
Idaho
(5/6/2019)
RR
Illinois
(6/6/2019)
RR
Indiana
(5/9/2019)
RR
Iowa
(5/7/2019)
RR
Kansas
(6/3/2019)
RR
Kentucky
(5/7/2019)
RR
Louisiana
(5/6/2019)
RR
Maine
(5/7/2019)
RR
Maryland
(5/8/2019)
RR
Massachusetts
(5/7/2019)
RR
Michigan
(5/8/2019)
RR
Minnesota
(5/9/2019)
RR
Mississippi
(5/7/2019)
RR
Missouri
(5/9/2019)
RR
Montana
(5/7/2019)
RR
Nebraska
(7/8/2019)
RR
Nevada
(5/15/2019)
RR
New Hampshire
(5/10/2019)
RR
New Jersey
(6/10/2019)
RR
New Mexico
(5/7/2019)
RR
New York
(1/28/2019)
RR
North Carolina
(5/15/2019)
RR
North Dakota
(5/7/2019)
RR
Ohio
(5/6/2019)
RR
Oklahoma
(5/6/2019)
RR
Oregon
(5/6/2019)
RR
Pennsylvania
(5/7/2019)
RR
Puerto Rico
(5/7/2019)
RR
Rhode Island
(5/16/2019)
RR
South Carolina
(5/7/2019)
RR
South Dakota
(5/14/2019)
RR
Tennessee
(5/8/2019)
RR
Texas
(5/14/2019)
RR
Utah
(5/7/2019)
RR
Vermont
(5/6/2019)
RR
Virgin Islands
(5/9/2019)
RR
Virginia
(5/7/2019)
RR
Washington
(5/7/2019)
RR
West Virginia
(5/20/2019)
RR
Wisconsin
(5/6/2019)
RR
Wyoming
(5/8/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/1/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DBSI RESEARCH SERVICES (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
DB U.S. FINANCIAL MARKETS HOLDING CORPORATIONSTOCKHOLDER
LEONARD, CHRISTOPHERCHIEF EXECUTIVE OFFICER & PRESIDENT5748580
MASSARO, TIBERIODIRECTOR/CHIEF FINANCIAL OFFICER/FINOP1847137
NAPPER, GLEENNIA TCHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER6161268
PETRUCCELLI, DOMINICK IIICHIEF RISK OFFICER8018800
SANTORE, DAVIDCHIEF LEGAL OFFICER7987270
STUCCHIO, ANTHONYCHIEF OPERATIONS OFFICER AND DIRECTOR2198592
TIGER, SEBASTIAN BENJAMINCHIEF COMPLIANCE OFFICER2266287

Disclosures

Regulatory Event291
Civil Event3
Arbitration13

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.

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525Miami, FL 33131

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