Mark A. Wegener
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.
Mark Alan Wegener was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2021 - August 2, 2024
KEYBANC CAPITAL MARKETS INC.
January 10, 2014 - November 12, 2020
TRUIST SECURITIES, INC.
December 12, 2012 - January 14, 2014
U.S. BANCORP INVESTMENTS, INC.
October 25, 2010 - August 23, 2012
CITIZENS SECURITIES, INC.
October 1, 2008 - February 4, 2009
J.P. MORGAN SECURITIES LLC
October 9, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 2, 2004 - May 4, 2005
J.P. MORGAN SECURITIES INC.
April 25, 2003 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
October 1, 1998 - October 5, 1999
BANC OF AMERICA SECURITIES LLC
March 21, 1995 - October 1, 1998
BANCAMERICA SECURITIES, 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
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.
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