Robert C. Whiteman
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.
Robert Christopher Whiteman, who also goes by Bob Whiteman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2018 - September 26, 2025
KEYBANC CAPITAL MARKETS INC.
January 3, 2018 - June 15, 2018
BOENNING & SCATTERGOOD, INC.
October 16, 2013 - January 17, 2018
JANNEY MONTGOMERY SCOTT LLC
September 28, 2009 - July 26, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 7, 2005 - September 25, 2009
FHN FINANCIAL SECURITIES CORP.
April 2, 2003 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 30, 2000 - April 2, 2003
COWEN AND COMPANY
February 13, 1997 - May 25, 2000
ROBERTSON STEPHENS, INC.
November 28, 1989 - November 20, 1996
DELAWARE DISTRIBUTORS, L.P.
July 4, 1987 - August 16, 1989
TRADE$AVER INC.
August 28, 1986 - June 12, 1987
HOPPER SOLIDAY & CO., INC.
October 24, 1985 - August 15, 1986
UBS FINANCIAL SERVICES INC.
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.
