Samuel Thomas Marshall
Professional Summary
Samuel Thomas Marshall, who also goes by Samuel T Marshall, Samuel Marshall, is a registered financial advisor currently at DEUTSCHE BANK SECURITIES INC. located in Chicago, Illinois. Samuel is registered as a RR (Registered Representative) and started their career in finance in 2025. Samuel has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Samuel Thomas Marshall, Samuel T Marshall, Samuel Marshall
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
1 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
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.
Contact Information
Main Address
1 Columbus Circle, New York, NY 10019Mailing Address
1 Columbus Circle, New York, NY 10019Phone Number
(212) 250-2500Established
Delaware since 12/29/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,743SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | — |
| FAY, BRIAN JAMES | DIRECTOR/CHIEF OPERATIONS OFFICER | 5997727 |
| IACONO, SCOTT LOUIS | CHIEF FINANCIAL OFFICER/FINOP | 2792854 |
| LEONARD, CHRISTOPHER | DIRECTOR/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 | DIRECTOR | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| SILVERBERG, JOSEPH EVAN | DIRECTOR | 4502704 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
| ZEIDERS, DUNCAN MATTHEW | DIRECTOR | 6165550 |
Disclosures
Regulatory Event
292Civil Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
(8/15/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2025About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Samuel Thomas Marshall's CRS (Customer Relationship Summary).
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