DF
Douglas L. Fitzgerald
KEYBANC CAPITAL MARKETS
BOSTON, MA 02110
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CRD#: 2116298
DF
Professional summary
Douglas Lloyd Fitzgerald is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Boston, Massachusetts.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Lloyd Fitzgerald's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2007 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 225 Franklin Street, Boston, MA 02110BD
CRD#: 566
BOSTON, MA
Past
May 19, 2005 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
BOSTON, MA
Past
March 9, 2005 - May 2, 2005
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
October 1, 2003 - March 24, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 1, 2000 - April 25, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
August 22, 1997 - April 7, 2000
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
June 24, 1993 - September 5, 1997
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
April 19, 1993 - June 16, 1993
REICH & CO., INC.
BD
CRD#: 19611
Past
January 5, 1993 - May 5, 1993
MARTIN SIMPSON & COMPANY, INC.
BD
CRD#: 6486
NEW YORK, NY
Past
January 9, 1991 - November 18, 1992
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/9/2011)
RR
Alaska(3/9/2011)
RR
Arizona(3/9/2011)
RR
Arkansas(3/9/2011)
RR
California(6/6/2008)
RR
Colorado(6/24/2008)
RR
Connecticut(11/20/2007)
RR
Delaware(6/26/2008)
RR
District of Columbia(3/9/2011)
RR
Florida(6/6/2008)
RR
Georgia(7/29/2008)
RR
Hawaii(3/9/2011)
RR
Idaho(3/9/2011)
RR
Illinois(6/6/2008)
RR
Indiana(3/9/2011)
RR
Iowa(9/16/2010)
RR
Kansas(3/9/2011)
RR
Kentucky(3/16/2009)
RR
Louisiana(3/9/2011)
RR
Maine(11/20/2007)
RR
Maryland(12/8/2008)
RR
Massachusetts(8/22/2007)
RR
Michigan(6/24/2008)
RR
Minnesota(6/25/2008)
RR
Mississippi(3/9/2011)
RR
Missouri(10/20/2008)
RR
Montana(3/9/2011)
RR
Nebraska(3/9/2011)
RR
Nevada(3/9/2011)
RR
New Hampshire(11/20/2007)
RR
New Jersey(6/19/2008)
RR
New Mexico(3/9/2011)
RR
New York(8/30/2007)
RR
North Carolina(6/30/2008)
RR
North Dakota(3/9/2011)
RR
Ohio(11/21/2007)
RR
Oklahoma(10/20/2008)
RR
Oregon(6/6/2008)
RR
Pennsylvania(11/20/2007)
RR
Rhode Island(8/6/2009)
RR
South Carolina(3/9/2011)
RR
South Dakota(3/9/2011)
RR
Tennessee(3/9/2011)
RR
Texas(10/14/2010)
RR
Utah(3/9/2011)
RR
Vermont(11/20/2007)
RR
Virginia(3/9/2011)
RR
Washington(3/9/2011)
RR
West Virginia(3/9/2011)
RR
Wisconsin(8/11/2010)
RR
Wyoming(3/9/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KC
KEYBANC CAPITAL MARKETS INC.
GRADISON ASSET MANAGEMENT | MCDONALD INVESTMENTS INC. | MCDONALD & COMPANY SECURITIES, INC. | MCDONALD & COMPANY | KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
127 Public Square, Cleveland, OH 44114
Mailing Address
127 Public Square, Cleveland, OH 44114
Phone number
(216) 689-0803
Established
Ohio since 05/18/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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.
Company Information
KEYBANC CAPITAL MARKETS INC.
CRD#: 566Boston, MA 02110TRUST BUT VERIFY
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