Anthony Mancini
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.
Anthony Mancini Jr., who also goes by Mancini Anthony, Anthony Mancini Jr, Anthony Mancini-jr, Anthony Mancini, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. Anthony had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2024 - July 8, 2026
KEYBANC CAPITAL MARKETS INC.
October 26, 2021 - October 15, 2024
UBS FINANCIAL SERVICES INC.
May 2, 2018 - October 15, 2024
UBS FINANCIAL SERVICES INC.
June 23, 2016 - May 10, 2018
JEFFERIES LLC
January 8, 2016 - June 16, 2016
OPPENHEIMER & CO. INC.
January 4, 2010 - October 6, 2015
TD SECURITIES (USA) LLC
September 9, 2008 - January 5, 2010
LEBENTHAL & CO., LLC
August 17, 2005 - March 28, 2008
MORGAN STANLEY & CO. LLC
May 1, 2001 - August 5, 2005
J.P. MORGAN SECURITIES INC.
May 17, 1994 - May 1, 2001
JPMSI
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 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
