Richard K. Purdy

DEUTSCHE BANK SECURITIES

New York, NY 10019

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CRD#: 6211207

Professional summary

Richard Kendros Purdy is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2017. Richard has worked at 2 firms and has passed the Series 63, Series 57, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Kendros Purdy'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

May 27, 2025 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 1 Columbus Circle, New York, NY 10019

RIA

CRD#: 2525

New York, NY

Past

March 7, 2017 - May 29, 2025

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

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

Alabama
(5/27/2025)

Alaska
(5/27/2025)

Arizona
(5/27/2025)

Arkansas
(5/27/2025)

California
(5/27/2025)

Colorado
(5/27/2025)

Connecticut
(5/27/2025)

Delaware
(5/27/2025)

District of Columbia
(5/27/2025)

Florida
(5/27/2025)

Georgia
(5/27/2025)

Hawaii
(5/27/2025)

Idaho
(5/27/2025)

Illinois
(5/27/2025)

Indiana
(5/27/2025)

Iowa
(5/27/2025)

Kansas
(5/27/2025)

Kentucky
(5/27/2025)

Louisiana
(5/27/2025)

Maine
(5/27/2025)

Maryland
(5/27/2025)

Massachusetts
(5/27/2025)

Michigan
(5/27/2025)

Minnesota
(5/27/2025)

Mississippi
(5/27/2025)

Missouri
(5/27/2025)

Montana
(5/27/2025)

Nebraska
(5/27/2025)

Nevada
(5/27/2025)

New Hampshire
(5/27/2025)

New Jersey
(5/27/2025)

New Mexico
(5/27/2025)

New York
(5/27/2025)

North Carolina
(5/27/2025)

North Dakota
(5/27/2025)

Ohio
(5/27/2025)

Oklahoma
(5/27/2025)

Oregon
(5/27/2025)

Pennsylvania
(5/27/2025)

Puerto Rico
(5/27/2025)

Rhode Island
(5/27/2025)

South Carolina
(5/27/2025)

South Dakota
(5/27/2025)

Tennessee
(5/27/2025)

Texas
(5/27/2025)

Utah
(5/27/2025)

Vermont
(5/27/2025)

Virgin Islands
(5/27/2025)

Virginia
(5/27/2025)

Washington
(5/27/2025)

West Virginia
(5/27/2025)

Wisconsin
(5/27/2025)

Wyoming
(5/27/2025)

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

Series 63

Date: 3/20/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57

Date: 10/9/2018

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2017

General Securities Representative 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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Firm Stability Insights

Richard K. Purdy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Kendros Purdy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2017

Series 57

Date: 10/9/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2017

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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