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JS

James B. Spear

Some features on this profile are disabled
CRD#: 1400212
JS

Professional summary

James Brien Spear was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, James had worked at 5 firms, which includes KEYBANC CAPITAL MARKETS INC., AMERICAN INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, RAFFENSPERGER HUGHES & CO. INC., PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 21, 1999 - August 15, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

September 13, 1996 - September 20, 1999

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

July 22, 1994 - September 24, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 27, 1986 - July 25, 1994

RAFFENSPERGER, HUGHES & CO., INC.

BD
CRD#: 699
INDIANAPOLIS, IN
Past

October 23, 1985 - November 4, 1986

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/20/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination

Current Firm

KC
KEYBANC CAPITAL MARKETS INC.
GRADISON ASSET MANAGEMENT | MCDONALD INVESTMENTS INC. | MCDONALD & COMPANY SECURITIES, INC. | MCDONALD & COMPANY | KEYBANC CAPITAL MARKETS INC.

CRD#: 566 / SEC#: , 8-30177

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
127 Public Square, Cleveland, OH 44114
Mailing Address
127 Public Square, Cleveland, OH 44114
Phone number
(216) 689-0803
Established
Ohio since 05/18/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KEYCORPSOLE SHAREHOLDER
GILBERT, STACY LEEDIRECTOR5316644
HAYDEN, WILLIAM PATRICKCHIEF COMPLIANCE OFFICER4136632
JANOFSKY, PAULA MARIECHIEF OPERATIONS OFFICER, DIRECTOR2882776
KOVACHICK, MARK ALLANDIRECTOR, CFO5390571
PAINE, ANDREW JACKSON IIIMANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING2450522
PREISER, DOUGLAS WILLIAMCHIEF EXECUTIVE OFFICER, DIRECTOR1690776
SKARDA, JOSEPH BRIELDIRECTOR4288186

Disclosures

Regulatory Event40
Arbitration15
Bond1

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.

Company Information

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

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