Bloomberg Anywhere Remote Login Bloomberg Terminal Demo Request


Connecting decision makers to a dynamic network of information, people and ideas, Bloomberg quickly and accurately delivers business and financial information, news and insight around the world.


Financial Products

Enterprise Products


Customer Support

  • Americas

    +1 212 318 2000

  • Europe, Middle East, & Africa

    +44 20 7330 7500

  • Asia Pacific

    +65 6212 1000


Industry Products

Media Services

Follow Us

November 28, 2015 3:46 AM ET

Capital Markets

Company Overview of Deutsche Bank Securities Inc.

Company Overview

Deutsche Bank Securities Inc. is an investment bank that provides security brokerage services. Deutsche Bank Securities Inc. was formerly known as Deutsche Banc Alex. Brown Inc. The company was founded in 1973 and is based in New York, New York. Deutsche Bank Securities Inc. operates as a subsidiary of DB U.S. Financial Markets Holding Corporation.

60 Wall Street

4th Floor

New York, NY 10005

United States

Founded in 1973

Key Executives for Deutsche Bank Securities Inc.

Global Head of Mergers and Aquisitions
Managing Director
Managing Director
Managing Director
Director - Telecom Group
Compensation as of Fiscal Year 2015.

Deutsche Bank Securities Inc. Key Developments

FINRA Fines Deutsche Bank Securities Inc. of $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules

The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA short interest reporting rule and for related supervisory failures. Reg SHO generally allows firms to track their positions in a security from certain trading operations or trading desks separately from other positions maintained at the firm through the use of an 'aggregation unit'. Reg SHO requires, among other things, that in determining the net positions of aggregation units, firms cannot include the securities positions of a non-U.S.-broker-dealer affiliate. FINRA found that for over 10 years, Deutsche Bank has been improperly including securities positions of a non-U.S.-broker-dealer affiliate in numerous aggregation units when determining each unit's net position. In addition, FINRA requires firms, with certain exceptions, to regularly report their total "short" positions in all customer and proprietary firm accounts in equity securities. These short positions must be reported on a gross, rather than a net basis. FINRA found that from April 2004 to September 2012, Deutsche Bank reported the netted positions in its financial aggregation account as the firm's short interest positions for that particular day. FINRA also found that Deutsche Bank's supervisory system with respect to its aggregation unit structure and short interest reporting was not reasonably designed to detect and prevent such rule violations during the relevant time periods. In concluding this settlement, Deutsche Bank neither admitted nor denied the charges, but consented to the entry of FINRA's findings.

Deutsche Bank Securities Inc. Presents at Financial Services M&A Forum, Nov-04-2015 09:00 AM

Deutsche Bank Securities Inc. Presents at Financial Services M&A Forum, Nov-04-2015 09:00 AM. Venue: The Metropolitan Club, New York, United States. Speakers: Venkat Badinehal, Managing Director, Head of Financial Institutions Group – Americas.

Deutsche Bank Securities Inc. Presents at The Investors' Conference on Marketplace Lending, Oct-29-2015 02:50 PM

Deutsche Bank Securities Inc. Presents at The Investors' Conference on Marketplace Lending, Oct-29-2015 02:50 PM. Venue: Marriott New York Downtown, 85 West Street, New York, NY 10006, United States. Speakers: John Malone, Director.

Similar Private Companies By Industry

Company Name Region
Sucsy, Fischer & Company United States
FPL Associates L.P. United States
Briggs-Ficks Securities LLC United States
Assured Equities IV Corporation United States
Morgan Stanley Capital Trust B United States

Recent Private Companies Transactions

No transactions available in the past 12 months.

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

Company Name Geographic Region
Lawyers Committee for Civil Rights Under Law United States
NYC2012, Inc. United States
Bertelsmann AG Europe
Rush University United States
Citizens Budget Commission United States

Sponsored Financial Commentaries

Sponsored Links

Request Profile Update

Only a company representative may request an update for the company profile. Documentation will be required.

To contact Deutsche Bank Securities Inc., please visit Company data is provided by Capital IQ. Please use this form to report any data issues.

Please enter your information in the following field(s):
Update Needed*

All data changes require verification from public sources. Please include the correct value or values and a source where we can verify.

Your requested update has been submitted

Our data partners will research the update request and update the information on this page if necessary. Research and follow-up could take several weeks. If you have questions, you can contact them at