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Investment Adviser Firm Summary

DEUTSCHE BANK SECURITIES INC. (CRD# 2525 / SEC# 8-17822, 801-9638)
Alternate Names: C. J. LAWRENCE INC. , C.J. LAWRENCE, MORGAN GRENFELL INC. , C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION , CYRUS J. LAWRENCE INCORPORATED , DEUTSCHE BANC ALEX. BROWN INC. , DEUTSCHE BANK SECURITIES INC. , DEUTSCHE MORGAN GRENFELL INC. , DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/12/1973

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/31/2001
Alaska 10/15/1997
Arizona 12/28/1994
Arkansas 01/03/1995
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/11/1997
Delaware 07/24/2003
District of Columbia 08/13/1998
Florida 07/19/2002
Georgia 01/31/2001
Hawaii 03/31/2009
Idaho 09/22/1992
Illinois 12/10/1998
Indiana 01/31/2001
Iowa 01/01/1999
Kansas 03/28/2008
Kentucky 03/28/2008
Louisiana 01/31/2001
Maine 01/31/2001
Maryland 06/25/1991
Michigan 01/31/2001
Minnesota 01/31/2001
Mississippi 10/13/1997
Missouri 10/14/1997
Montana 01/31/2001
Nebraska 03/28/2008
Nevada 05/19/1993
New Hampshire 01/31/2001
New Jersey 06/28/2002
New Mexico 01/31/2001
New York 01/31/2001
North Carolina 01/31/2001
North Dakota 03/30/2010
Ohio 03/28/2008
Oklahoma 01/01/1999
Oregon 03/28/2008
Pennsylvania 07/19/2002
Puerto Rico 03/24/1998
Rhode Island 01/31/2001
South Carolina 10/21/2003
South Dakota 03/28/2008
Tennessee 10/15/1997
Texas 06/24/2002
Utah 10/14/1997
Vermont 01/31/2001
Virgin Islands 03/30/2010
Virginia 07/15/1987
Washington 06/19/1995
West Virginia 10/16/1997
Wisconsin 11/07/1997

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser