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John Wesley Davis

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Information

Other Names: John W Davis III, John Wesley Davis III
Firm:
Type: Dual Registration
Description

John Davis is a financial professional at Deutsche Bank Securities Inc., a broker-dealer with over 3,550 registered representatives nationwide. John has held an industry securities registration for 40 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Deutsche Bank Securities Inc. 13 years, 7 months Jan 2001 - Present
Exams
ExamSeriesPassed Date
Interest Rate Options ExaminationSeries 5 01/24/1983
Registered Options Principal ExaminationSeries 4 06/25/1981
General Securities Principal ExaminationSeries 24 06/03/1981
Uniform Securities Agent State Law ExaminationSeries 63 03/17/1981
General Securities Representative ExaminationSeries 7 02/21/1981
Registered Principal ExaminationSeries 40 08/27/1973
NYSE Branch Manager ExaminationSeries 12 10/29/1970
Registered Representative ExaminationSeries 1 12/15/1967

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

John Wesley Davis has not answered any questions on Financial Q&A.

Top Guides

John Wesley Davis has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Corporations or Other Businesses
Individuals
State or Municipal Government Entities
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/29/2013
09/04/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions