John A. Key
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.
John Arslan Key, who also goes by John A. Arslan Key, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2017 - August 7, 2018
XMS CAPITAL PARTNERS, LLC
November 3, 2000 - March 24, 2016
UBS SECURITIES LLC
December 2, 1992 - November 3, 2000
UBS FINANCIAL SERVICES INC.
March 16, 1991 - December 8, 1992
LCP CAPITAL CORP.
July 19, 1990 - March 16, 1991
MANCHESTER RHONE SECURITIES CORP.
April 23, 1987 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
December 23, 1986 - April 23, 1987
MONVEST SECURITIES, 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
XMS CAPITAL PARTNERS, LLC
CRD#: 142871 / SEC#: , 8-67502
Contact information
FINRA licenses (34 States and Territories)
Documents
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.
