Amish S. Jhaveri
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.
Amish S Jhaveri, who also goes by Amish Siddharth Jhaveri, Amish Jhaveri, was a registered financial professional .
Amish is a previously registered financial professional and started their career in finance in 2002. Amish had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2022 - December 20, 2023
DEUTSCHE BANK SECURITIES INC.
October 19, 2022 - June 30, 2025
DEUTSCHE BANK SECURITIES INC.
October 15, 2019 - September 9, 2022
CITIGROUP GLOBAL MARKETS INC.
October 15, 2019 - September 9, 2022
CITIGROUP GLOBAL MARKETS INC.
October 15, 2019 - September 9, 2022
CITI PRIVATE ALTERNATIVES, LLC
September 11, 2014 - August 12, 2019
CITIGROUP GLOBAL MARKETS INC.
September 10, 2014 - August 12, 2019
CITIGROUP GLOBAL MARKETS INC.
April 27, 2010 - November 27, 2013
CITIGROUP GLOBAL MARKETS INC.
April 27, 2010 - November 27, 2013
CITIGROUP GLOBAL MARKETS INC.
August 13, 2008 - April 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2008 - April 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - August 14, 2008
CITIGROUP GLOBAL MARKETS INC.
April 2, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 28, 2002 - September 30, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2002 - September 30, 2002
IDS LIFE INSURANCE COMPANY
February 22, 2002 - September 30, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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.
