Jon M. Beard
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.
Jon M Beard, who also goes by Jon Michael Beard, Jon Beard, Jon Michael Beard-ojala, John Griffin, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2004. Jon had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2025 - June 26, 2026
DEUTSCHE BANK SECURITIES INC.
March 8, 2013 - September 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2013 - September 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 2009 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 2009 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2004 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2004 - May 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
