David Reedy
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.
David Reedy, who also goes by David J Reedy, David Joseph Reedy, David Joseph Joseph Reedy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 9 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2024 - June 23, 2025
KEYBANC CAPITAL MARKETS INC.
January 29, 2021 - May 10, 2023
UBS SECURITIES LLC
January 22, 2021 - May 10, 2023
UBS FINANCIAL SERVICES INC.
June 9, 2011 - January 22, 2021
UBS SECURITIES LLC
November 1, 2010 - April 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
August 2, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 2, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
August 2, 1993 - July 7, 2005
LEHMAN BROTHERS INC.
November 22, 1989 - July 20, 1993
BANC ONE CAPITAL MARKETS, 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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent 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.
