MN
Mary H. Nader
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CRD#: 7621412
MN
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.
Mary Holland Nader, who also goes by Mary Nader, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2023. Mary had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mary Nader
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.
Hulu Corp. Parent Company- Walt Disney Co. - Not Investment Related. 2500 Broadway, Santa Monica CA- Information and Communications -> Motion Picture, Not investment related - Video and Television Program Production, Sound Recording and Music. No official position Sister is the individual employed in this sector: My older sister works in the entertainment business and has a television project that is creating a short video for Hulu's internal use, in which I will make a small appearance, as her sister. Hulu is paying all of the sisters to make the appearance. The video will not be made public. I am only making an appearance as part of her family. Start date 11/11/2022. One time event / engagement Approximate number of hours per month devoted to other business is zero as it was a one-time opportunity. Zero hours devoted to other business during trading hours. Duties included introducing myself and talking about our family. No investment- related topics were discussed. the name of the other business; MHN Media LLC whether the business is investment-related; Not investment related the address of the other business; 114 Christopher St, New York NY 10014 the nature of the other business; Multimedia and Personal Services your position; Sole Manager, Partner, and Owner title, or relationship with the other business; Sole Manager, Partner, and Owner the start date of your relationship; March 26, 2023 - Please note, this LLC was created in November of 2022 to have in case it was needed, but I did not have the intention of using it until this year, at which time I promptly obtained approval from the Firm. Compliance is aware of the timeline and for the purposes of the Form U4, we are going with the day the OBI was approved by DB. the approximate number of hours/month you devote to the other business; 20 hours per month the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; This LLC was created in order to manage social media activity, including paid brand partnerships. The entity is active, and typical client base includes makeup brands, clothing brands, and food brands. Marketing strategies include positing to social media, highlighting the product and its uses, in exchange for small payment. Decision making power rests with me, Mary Nader, as the sole owner, manager and member, and there is no government funding. The entity does not offer securities-related advice or have any relationship to the securities industry, nor to my position at DB. The OBI has been approved by my Firm.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 7, 2023 - December 19, 2023
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
January 7, 2023 - April 2, 2025
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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.
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
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.
