JD
Jim F. Dimonte
KEYBANC CAPITAL MARKETS
LaGrange, IL
Some features on this profile are disabled
CRD#: 2597801
JD
Professional summary
Jim Francis Dimonte is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Lagrange, Illinois.
Jim is registered as a RR (Registered Representative) and started their career in finance in 1995. Jim has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jim Francis Dimonte's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 2, 2008 - Present
KEYBANC CAPITAL MARKETS INC.
Office #2: 227 W. Monroe St. Suite 1700, Chicago, IL 60606BD
CRD#: 566
LaGrange, IL
Past
September 26, 2007 - April 21, 2008
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
June 14, 2006 - May 2, 2007
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
October 3, 2005 - October 1, 2007
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
July 19, 2004 - October 4, 2005
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
July 11, 2001 - July 7, 2004
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
October 1, 1998 - July 6, 2001
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 29, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/2/2008)
RR
Alaska(6/2/2008)
RR
Arizona(6/2/2008)
RR
Arkansas(6/2/2008)
RR
California(6/2/2008)
RR
Colorado(6/2/2008)
RR
Connecticut(6/2/2008)
RR
Delaware(6/2/2008)
RR
District of Columbia(6/2/2008)
RR
Florida(6/2/2008)
RR
Georgia(6/2/2008)
RR
Hawaii(6/2/2008)
RR
Idaho(6/2/2008)
RR
Illinois(6/2/2008)
RR
Indiana(6/2/2008)
RR
Iowa(6/2/2008)
RR
Kansas(6/2/2008)
RR
Kentucky(6/2/2008)
RR
Louisiana(6/2/2008)
RR
Maine(6/2/2008)
RR
Maryland(6/2/2008)
RR
Massachusetts(6/2/2008)
RR
Michigan(6/2/2008)
RR
Minnesota(6/2/2008)
RR
Mississippi(6/2/2008)
RR
Missouri(6/2/2008)
RR
Montana(6/2/2008)
RR
Nebraska(6/2/2008)
RR
Nevada(6/2/2008)
RR
New Hampshire(6/2/2008)
RR
New Jersey(6/2/2008)
RR
New Mexico(6/2/2008)
RR
New York(6/2/2008)
RR
North Carolina(6/2/2008)
RR
North Dakota(6/2/2008)
RR
Ohio(6/3/2008)
RR
Oklahoma(6/2/2008)
RR
Oregon(6/2/2008)
RR
Pennsylvania(6/2/2008)
RR
Rhode Island(6/2/2008)
RR
South Carolina(6/2/2008)
RR
South Dakota(6/2/2008)
RR
Tennessee(6/2/2008)
RR
Texas(6/2/2008)
RR
Utah(6/2/2008)
RR
Vermont(6/2/2008)
RR
Virginia(6/2/2008)
RR
Washington(6/2/2008)
RR
West Virginia(6/2/2008)
RR
Wisconsin(6/2/2008)
RR
Wyoming(6/2/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KC
KEYBANC CAPITAL MARKETS INC.
GRADISON ASSET MANAGEMENT | MCDONALD INVESTMENTS INC. | MCDONALD & COMPANY SECURITIES, INC. | MCDONALD & COMPANY | KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
127 Public Square, Cleveland, OH 44114
Mailing Address
127 Public Square, Cleveland, OH 44114
Phone number
(216) 689-0803
Established
Ohio since 05/18/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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.
