David J. Key
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Joseph Key, who also goes by David J Key, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2006 - February 12, 2015
AMEGY INVESTMENTS, INC.
November 22, 2004 - November 30, 2006
LEHMAN BROTHERS INC.
October 17, 2003 - November 15, 2004
J.P. MORGAN SECURITIES INC.
July 25, 1995 - September 27, 1996
AGF INVESTMENT CORP.
February 21, 1994 - September 23, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
October 11, 1992 - February 2, 1994
UBS FINANCIAL SERVICES 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
Exams
Current Firm
AMEGY INVESTMENTS, INC.
CRD#: 120145 / SEC#: 801-61121, 8-65399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZB, N.A. | OWNER | |
| CHAPA, SCOTT EDWARD | DIRECTOR / SENIOR VICE PRESIDENT | 4309262 |
| DILLARD, KAREN | ASSISTANT SECRETARY | |
| KNELL, TERRY LYNN | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES | 1733584 |
| NEWMAN, VALERIE LAYNE | VICE PRESIDENT | 2763957 |
| OUYANG, JANE JIA | DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP | 1817244 |
| PAUL, ROSALIE JANISE | ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES | 2217903 |
| SHELTON, ROBERT ANDREWS | DIRECTOR / SENIOR VICE PRESIDENT | 2561167 |
| TAYLOR, LINCOLN EARL | PRESIDENT & DIRECTOR | 5011548 |
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.
