FG
Frank J. Gauvain
KEYBANC CAPITAL MARKETS
BOSTON, MA 02110
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CRD#: 2208629
FG
Professional summary
Frank Joseph Gauvain is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Boston, Massachusetts.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1994. Frank has worked at 9 firms and has passed the Series 63, SIE and Series 7 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 Frank Joseph Gauvain'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
January 24, 2008 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 225 Franklin Street, Boston, MA 02110BD
CRD#: 566
BOSTON, MA
Past
July 11, 2005 - January 9, 2008
MORGAN JOSEPH TRIARTISAN LLC
BD
CRD#: 10948
WHITE PLAINS, NY
Past
March 22, 2005 - July 12, 2005
INDEPENDENT RESEARCH GROUP LLC
BD
CRD#: 124432
NEW YORK, NY
Past
December 3, 2002 - April 8, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 31, 2001 - December 2, 2002
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
August 15, 2000 - August 7, 2001
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
BALTIMORE, MD
Past
July 15, 1996 - January 7, 2000
PREFERREDTRADE, INC.
BD
CRD#: 10993
SAN FRANCISCO, CA
Past
August 11, 1995 - June 19, 1996
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
September 8, 1994 - September 14, 1994
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
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(2/19/2008)
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(2/19/2008)
RR
Maryland(12/8/2008)
RR
Massachusetts(1/24/2008)
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(2/19/2008)
RR
New Jersey(6/19/2008)
RR
New Mexico(3/9/2011)
RR
New York(6/6/2008)
RR
North Carolina(6/30/2008)
RR
North Dakota(3/9/2011)
RR
Ohio(8/21/2008)
RR
Oklahoma(10/20/2008)
RR
Oregon(6/6/2008)
RR
Pennsylvania(6/6/2008)
RR
Rhode Island(2/19/2008)
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(2/19/2008)
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
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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