Jack L. Rhoades
Professional summary
Jack Lee Rhoades was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jack is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Jack had worked at 4 firms, which includes KEYBANC CAPITAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2001 - July 22, 2004
KEYBANC CAPITAL MARKETS INC.
January 1, 2001 - July 22, 2004
KEYBANC CAPITAL MARKETS INC.
June 5, 1996 - May 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1995 - November 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 8, 1993 - March 9, 1995
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
Exams
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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