Stephen C. Wool
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.
Stephen Cornelius Wool was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2013 - December 26, 2013
KEYBANC CAPITAL MARKETS INC.
July 10, 2009 - June 24, 2013
JANNEY MONTGOMERY SCOTT LLC
November 15, 2005 - June 30, 2009
KEYBANC CAPITAL MARKETS INC.
May 23, 2000 - November 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
March 2, 1998 - June 5, 2000
RBC CAPITAL MARKETS, LLC
November 6, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 2, 1991 - October 14, 1996
WELLS FARGO CLEARING SERVICES, LLC
May 15, 1989 - June 6, 1991
CHASE SECURITIES, INC.
July 5, 1983 - August 22, 1989
KIDDER, PEABODY & CO. INCORPORATED
April 21, 1982 - May 26, 1983
FIDELITY DISTRIBUTORS CORPORATION
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
Series 8
Date: 4/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
