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Broker-dealer firm · New York, NY

Deutsche Bank Securities Inc.

SEC-registered investment adviser · CRD 2525 · SEC 801-9638

At a glance

Deutsche Bank Securities Inc. is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed September 10, 2026. By Form ADV it is a broker-dealer firm, ranked 363rd of 391 broker-dealer firms and 16,552nd of 17,210 SEC-registered advisers by assets.

Main office 212-250-2500db.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#363 of 391
Rank among all SEC RIAs
#16,552 of 17,210
Rank in New York
#2,499 of 2,591
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
1,743
Advisory staff
134
Offices
4

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Deutsche Bank Securities Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Deutsche Bank Securities Inc. is a hybrid RIA: 1,195 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: DWS Distributors, Inc. and Deutsche Bank AG.

Other hybrid RIAs

Disciplinary disclosures

Deutsche Bank Securities Inc. answers yes to 714 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Other services

How it’s paid

  • Other

Form ADV and brochures on the SEC’s adviser search ↗db.com ↗

AtlasMembers

The full record on Deutsche Bank Securities Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
10 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
4Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Deutsche Bank Securities Inc. manage?

Deutsche Bank Securities Inc. reports $0 in regulatory assets under management, on its Form ADV filed September 10, 2026.

What kind of firm is Deutsche Bank Securities Inc.?

Deutsche Bank Securities Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.

Does Deutsche Bank Securities Inc. have any disciplinary history?

Deutsche Bank Securities Inc. answers yes to 714 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Deutsche Bank Securities Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →