William R. Hebel
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.
William Richard Hebel JR, who also goes by William Richard Hebel, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 10 firms and has passed the Series 000, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1998 - April 13, 1998
KEYBANC CAPITAL MARKETS INC.
January 1, 1995 - December 10, 1996
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
August 6, 1994 - November 29, 1994
RAYMOND JAMES & ASSOCIATES, INC.
October 8, 1992 - June 24, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
January 28, 1992 - October 2, 1992
FIRST BROKERS SECURITIES LLC
January 25, 1991 - May 28, 1991
LACROIX ALEXANDER FINANCIAL CORP
July 25, 1987 - January 8, 1991
MORGAN STANLEY MARKET PRODUCTS INC.
April 3, 1986 - January 8, 1991
MORGAN STANLEY & CO. LLC
September 27, 1982 - April 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1981 - August 17, 1982
MORGAN STANLEY DW 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
Series 000
Date: 10/4/1971
General Securities Principal ExaminationSeries 1
Date: 10/4/1971
Registered Representative ExaminationSeries 12
Date: 12/29/1992
NYSE Branch Manager ExaminationSeries 40
Date: 8/18/1975
Registered Principal ExaminationCurrent 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.
