Eloiza Dlima
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.
Eloiza Dlima, who also goes by Eloiza Rosa D'lima, was a registered financial professional .
Eloiza is a previously registered financial professional and started their career in finance in 2007. Eloiza had worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - November 25, 2025
DEUTSCHE BANK SECURITIES INC.
January 9, 2019 - March 9, 2020
UBS FINANCIAL SERVICES INC.
June 9, 2014 - December 4, 2018
AXOS CLEARING LLC
July 1, 2013 - December 17, 2013
ALTERNA WEALTH MANAGEMENT, INC.
July 1, 2013 - December 17, 2013
ALTERNA SECURITIES, INC.
September 2, 2010 - June 12, 2013
SANDERS MORRIS LLC
September 2, 2010 - June 12, 2013
SANDERS MORRIS LLC
June 17, 2009 - September 22, 2010
NEXT FINANCIAL GROUP, INC.
June 17, 2009 - September 22, 2010
NEXT FINANCIAL GROUP, INC.
May 13, 2008 - April 1, 2009
STANFORD GROUP COMPANY
November 27, 2007 - April 1, 2009
STANFORD GROUP COMPANY
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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
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