Timothy N. Monnin
Professional summary
Timothy Nelson Monnin, who also goes by Tim Monnin, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Charlotte, North Carolina.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Nelson Monnin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2013 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 5935 Carnegie Blvd., Charlotte, NC 28209January 20, 2011 - September 18, 2013
JEFFERIES LLC
July 1, 2003 - October 27, 2010
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 21, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
November 3, 1997 - January 14, 1999
CIBC WORLD MARKETS CORP.
May 1, 1996 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
July 18, 1989 - February 4, 1991
OLD KENT FINANCIAL ADVISORS
November 18, 1987 - January 17, 1989
HSBC SECURITIES (USA) 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
(12/3/2013)
(12/11/2013)
(12/3/2013)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 4/21/1988
Interest Rate Options ExaminationFINRA
Nasdaq Stock Market
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
