David R. Morlock
Professional summary
David Robert Morlock is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 3 firms and has passed the Series 63, SIE, Series 50, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Robert Morlock's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 22, 2017 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 227 W. Monroe St. Suite 1700, Chicago, IL 60606August 31, 2016 - December 22, 2017
CAIN BROTHERS & COMPANY, LLC
July 21, 1989 - November 15, 1989
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/22/2017)
(12/13/2022)
(12/22/2017)
Exams
FINRA
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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