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FIRM PROFILE
Overview
D.E. SHAW SECURITIES, L.L.C. is located at Two Manhattan West 375 Ninth Avenue, 52nd Floor, New York, NY 10001 and was first established at New York, Delaware in 11/13/2000. After operating for 25 years, D.E. SHAW SECURITIES, L.L.C. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of D.E. SHAW SECURITIES, L.L.C.’s clients are individuals and 0% of their clients are high net worth individuals. D.E. SHAW SECURITIES, L.L.C. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at D.E. SHAW SECURITIES, L.L.C. are registered to handle securities or provide financial advice. The firm has 5 disclosures, 5 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access D.E. SHAW SECURITIES, L.L.C.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at D.E. SHAW SECURITIES, L.L.C.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for D.E. SHAW SECURITIES, L.L.C. Comes From
Understanding the Statistics for D.E. SHAW SECURITIES, L.L.C. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Small
(212) 478-0000
Delaware since 11/13/2000
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | ||
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 | |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 | |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 | |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 | |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 | |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
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Advisor's working at D.E. SHAW SECURITIES, L.L.C.
Anne Carolyn Dinning
Maximilian Dana Stone
John Richard Estes III
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