Douglas P. Ford
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.
Douglas Paul Ford, who also goes by Douglas Ford, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 17 firms and has passed the Series 63 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
February 25, 2013 - June 18, 2014
KEYBANC CAPITAL MARKETS INC.
October 6, 2010 - February 21, 2013
GUGGENHEIM SECURITIES, LLC
July 23, 2009 - August 27, 2010
CHAPDELAINE TULLETT PREBON, LLC
October 1, 2007 - July 15, 2009
GUGGENHEIM SECURITIES, LLC
July 29, 2004 - October 3, 2007
SCOTT & STRINGFELLOW, LLC
April 2, 2003 - July 16, 2004
CANTOR FITZGERALD & CO.
December 19, 2002 - April 11, 2003
PERSHING LLC
November 20, 2000 - May 8, 2001
MUNIGROUP.COM, LLC
November 20, 2000 - September 6, 2002
TRADEWEB DIRECT LLC
May 4, 1999 - November 17, 2000
LIMITRADER SECURITIES, INC.
July 1, 1998 - October 24, 1998
ABN AMRO SECURITIES LLC
January 5, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
January 30, 1996 - February 19, 1998
ABN AMRO SECURITIES LLC
December 6, 1993 - November 20, 1995
MILLER TABAK HIRSCH & CO.
November 5, 1992 - December 1, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
April 10, 1990 - June 10, 1991
LEHMAN SPECIAL SECURITIES INC.
April 10, 1990 - June 10, 1991
LEHMAN GOVERNMENT SECURITIES INC.
April 10, 1990 - June 10, 1991
LEHMAN BROTHERS INC.
November 25, 1987 - August 15, 1989
JPMSI
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.
