JS
John Stocks
DEUTSCHE BANK SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4891642
JS
Professional summary
John Stocks is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 17 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view John Stocks's 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®
NoneExperience
Current
October 17, 2023 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1 Columbus Circle, New York, NY 10019RIA
BD
CRD#: 2525
New York, NY
Past
June 23, 2014 - October 16, 2023
NUMIS SECURITIES LLC
BD
CRD#: 128471
NEW YORK, NY
Past
February 9, 2012 - June 23, 2014
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
September 11, 2009 - February 9, 2012
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
April 5, 2005 - September 11, 2009
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
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.
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(8/2/2024)
RR
Alaska(8/2/2024)
RR
Arizona(8/2/2024)
RR
Arkansas(8/2/2024)
RR
California(8/2/2024)
RR
Colorado(8/2/2024)
RR
Connecticut(8/2/2024)
RR
Delaware(8/2/2024)
RR
District of Columbia(8/2/2024)
RR
Florida(8/2/2024)
RR
Georgia(8/2/2024)
RR
Hawaii(8/2/2024)
RR
Idaho(8/2/2024)
RR
Illinois(8/2/2024)
RR
Indiana(8/2/2024)
RR
Iowa(8/2/2024)
RR
Kansas(8/2/2024)
RR
Kentucky(8/2/2024)
RR
Louisiana(8/2/2024)
RR
Maine(8/2/2024)
RR
Maryland(8/2/2024)
RR
Massachusetts(8/2/2024)
RR
Michigan(8/2/2024)
RR
Minnesota(8/2/2024)
RR
Mississippi(8/2/2024)
RR
Missouri(8/2/2024)
RR
Montana(8/2/2024)
RR
Nebraska(8/2/2024)
RR
Nevada(8/2/2024)
RR
New Hampshire(8/2/2024)
RR
New Jersey(8/2/2024)
RR
New Mexico(8/2/2024)
RR
New York(10/17/2023)
RR
North Carolina(8/2/2024)
RR
North Dakota(8/2/2024)
RR
Ohio(8/2/2024)
RR
Oklahoma(8/2/2024)
RR
Oregon(8/2/2024)
RR
Pennsylvania(8/2/2024)
RR
Puerto Rico(8/2/2024)
RR
Rhode Island(8/2/2024)
RR
South Carolina(8/2/2024)
RR
South Dakota(8/2/2024)
RR
Tennessee(8/2/2024)
RR
Texas(8/2/2024)
RR
Utah(8/2/2024)
RR
Vermont(8/2/2024)
RR
Virgin Islands(8/2/2024)
RR
Virginia(8/2/2024)
RR
Washington(8/2/2024)
RR
West Virginia(8/2/2024)
RR
Wisconsin(8/2/2024)
RR
Wyoming(8/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 4/4/2005
Limited Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
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)
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.
