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DEUTSCHE BANK SECURITIES INC.

NEW YORK, NY · CRD 2525 · IAPD ↗ · db.com · 212-250-2500

$0Regulatory AUM
134Advisory reps
1743Employees
22Clients
0Planning clients
0Private funds
53States
714Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
October 2026 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (712 -> 714).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
June 2026 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (710 -> 712).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
May 2026 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (708 -> 710).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2026 — DEUTSCHE BANK SECURITIES INC. shrank from 146 to 134 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
January 2026 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (706 -> 708).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
December 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (703 -> 706).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
July 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (701 -> 703).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
June 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 10 (691 -> 701).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
May 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (689 -> 691).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
34
April 2025 — DEUTSCHE BANK SECURITIES INC. notice-filed in MA, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
March 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 4 (685 -> 689).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
January 2025 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (682 -> 685).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
November 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 10 (672 -> 682).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
September 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 6 (666 -> 672).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
August 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (663 -> 666).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
July 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (661 -> 663).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
May 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (660 -> 661).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 5 (655 -> 660).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2024 — DEUTSCHE BANK SECURITIES INC. shrank from 169 to 149 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
April 2024 — DEUTSCHE BANK SECURITIES INC. added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
February 2024 — DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (654 -> 655).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.