Edwin C. Hoffman
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.
Edwin Charles Hoffman JR was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1972. Edwin had worked at 10 firms and has passed the Series 63, SIE, Series 50, PC, Series 1, Series 53, Series 24 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
December 22, 2017 - May 4, 2018
KEYBANC CAPITAL MARKETS INC.
February 7, 1996 - December 22, 2017
CAIN BROTHERS & COMPANY, LLC
May 24, 1995 - February 15, 1996
CITICORP SECURITIES, INC.
November 16, 1988 - April 17, 1995
REINOSO & COMPANY, INCORPORATED
November 23, 1987 - April 27, 1988
E. F. HUTTON & COMPANY INC
February 13, 1985 - August 22, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
October 12, 1984 - February 14, 1985
MORGAN STANLEY DW INC.
June 26, 1980 - May 31, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 16, 1978 - June 21, 1980
EHRLICH-BOBER & CO., INC.
July 19, 1972 - September 23, 1978
CREDIT SUISSE SECURITIES (USA) 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
Exams
PC
Date: 11/18/1987
AMEX Put and Call ExamSeries 1
Date: 7/17/1972
Registered Representative ExaminationSeries 40
Date: 12/6/1976
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.
