Thomas C. Mazzucco
Professional summary
Thomas Charles Mazzucco JR, who also goes by (jr) Charles Mazzucco Jr, Thomas Charles Mazzucco, Thomas Charles (jr) Mazzucco, Mazzucco (jr) Charles Thomas Charles Jr, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in San Francisco, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Charles Mazzucco JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 18, 2018 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: One California Street, San Francisco, CA 94111October 16, 2013 - June 6, 2018
JEFFERIES LLC
July 17, 2009 - August 22, 2013
CITIGROUP GLOBAL MARKETS INC.
June 20, 2006 - June 11, 2009
UBS SECURITIES LLC
May 17, 2004 - June 1, 2006
LEHMAN BROTHERS INC.
July 17, 1992 - March 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1988 - July 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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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