Patrick M. Allen
Professional summary
Patrick Michael Allen is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Chicago, Illinois.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1994. Patrick has worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Michael Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2024 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 227 W. Monroe St. Suite 1700, Chicago, IL 60606July 31, 2018 - July 8, 2024
PIPER SANDLER & CO.
October 14, 2008 - March 15, 2010
GROWTHPOINT TECHNOLOGY PARTNERS, LLC
March 7, 2006 - June 3, 2008
FIRST CITIZENS CAPITAL SECURITIES, LLC
November 12, 2004 - February 24, 2006
LINCOLN INTERNATIONAL LLC
September 30, 2002 - August 17, 2004
SVB ALLIANT
September 26, 2001 - October 1, 2002
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
January 4, 2000 - May 24, 2000
UBS SECURITIES LLC
April 5, 1996 - October 2, 1997
J.P. MORGAN SECURITIES LLC
March 14, 1994 - June 16, 1995
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/11/2024)
(7/11/2024)
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
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.
