John Keith Pelt Mr.
Professional Summary
John Keith Pelt MR. is a registered financial advisor currently at DEUTSCHE BANK SECURITIES INC. located in Miami, Florida. John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
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.
Contact Information
Main Address
1 Columbus Circle, New York, NY 10019Mailing Address
1 Columbus Circle, New York, NY 10019Phone Number
(212) 250-2500Established
Delaware since 12/29/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,743SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | — |
| FAY, BRIAN JAMES | DIRECTOR/CHIEF OPERATIONS OFFICER | 5997727 |
| IACONO, SCOTT LOUIS | CHIEF FINANCIAL OFFICER/FINOP | 2792854 |
| LEONARD, CHRISTOPHER | DIRECTOR/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 | DIRECTOR | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| SILVERBERG, JOSEPH EVAN | DIRECTOR | 4502704 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
| ZEIDERS, DUNCAN MATTHEW | DIRECTOR | 6165550 |
Disclosures
Regulatory Event
292Civil Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Keith Pelt MR.'s CRS (Customer Relationship Summary).
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