Joseph W. Mchale
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph William Mchale, who also goes by Joseph Mchale, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 10 firms and has passed the Series 63, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - September 26, 2012
KEYBANC CAPITAL MARKETS INC.
February 16, 2010 - March 8, 2011
AURIGA USA, LLC
June 16, 2009 - November 17, 2009
GUGGENHEIM SECURITIES, LLC
April 10, 2008 - March 6, 2009
BLACKSTONE SECURITIES PARTNERS L.P.
November 13, 2000 - November 2, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
October 16, 2000 - November 13, 2000
CREDIT SUISSE SECURITIES (USA) LLC
March 10, 1992 - October 16, 2000
PERSHING LLC
May 2, 1990 - February 24, 1992
CITIGROUP GLOBAL MARKETS INC.
July 28, 1987 - March 12, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
December 23, 1981 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYCORP | SOLE SHAREHOLDER | |
| GILBERT, STACY LEE | DIRECTOR | 5316644 |
| HAYDEN, WILLIAM PATRICK | CHIEF COMPLIANCE OFFICER | 4136632 |
| JANOFSKY, PAULA MARIE | CHIEF OPERATIONS OFFICER, DIRECTOR | 2882776 |
| KOVACHICK, MARK ALLAN | DIRECTOR, CFO | 5390571 |
| PAINE, ANDREW JACKSON III | MANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING | 2450522 |
| PREISER, DOUGLAS WILLIAM | CHIEF EXECUTIVE OFFICER, DIRECTOR | 1690776 |
| SKARDA, JOSEPH BRIEL | DIRECTOR | 4288186 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 15 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
