Eloiza R. Dlima

DEUTSCHE BANK SECURITIES

JACKSONVILLE, FL 32256

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CRD#: 5293164

Professional summary

Eloiza Rosa Dlima, who also goes by Eloiza Rosa D'lima, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in Jacksonville, Florida.

Eloiza is registered as a RR (Registered Representative) and started their career in finance in 2007. Eloiza has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eloiza Rosa D'lima

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eloiza Rosa Dlima's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2022 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256

RIA

CRD#: 2525

JACKSONVILLE, FL

Past

January 9, 2019 - March 9, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NASHVILLE, TN

Past

June 9, 2014 - December 4, 2018

AXOS CLEARING LLC

CRD#: 117176

OMAHA, NE

Past

July 1, 2013 - December 17, 2013

ALTERNA WEALTH MANAGEMENT, INC.

RIA

CRD#: 146153

HOUSTON, TX

Past

July 1, 2013 - December 17, 2013

ALTERNA SECURITIES, INC.

CRD#: 41139

HOUSTON, TX

Past

September 2, 2010 - June 12, 2013

SANDERS MORRIS LLC

RIA

CRD#: 20580

HOUSTON, TX

Past

September 2, 2010 - June 12, 2013

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

June 17, 2009 - September 22, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

HOUSTON, TX

Past

June 17, 2009 - September 22, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

May 13, 2008 - April 1, 2009

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

November 27, 2007 - April 1, 2009

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

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.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

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.

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

Florida
(1/3/2022)

New York
(1/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/12/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DBSI RESEARCH SERVICES (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Eloiza R. Dlima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eloiza Rosa Dlima's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

AXOS CLEARING LLC

ALTERNA WEALTH MANAGEMENT, INC.

ALTERNA SECURITIES, INC.

SANDERS MORRIS LLC

SANDERS MORRIS LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/26/2007

Series 24

Date: 10/30/2010

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DEUTSCHE BANK SECURITIES INC.

TRUST BUT VERIFY

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