HB
Howard H. Bargatze
KEYBANC CAPITAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2639471
HB
Professional summary
Howard Hampton Bargatze is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Chicago, Illinois.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1995. Howard has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 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 Howard Hampton Bargatze'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
September 28, 2021 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 227 W. Monroe St. Suite 1700, Chicago, IL 60606BD
CRD#: 566
Chicago, IL
Past
August 3, 2020 - August 16, 2021
TRUIST SECURITIES, INC.
BD
CRD#: 6271
RICHMOND, VA
Past
January 2, 2013 - August 3, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
May 6, 1997 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RICHMOND, VA
Past
September 14, 1995 - July 24, 1996
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
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
Arizona(10/7/2021)
RR
California(9/28/2021)
RR
Colorado(11/15/2021)
RR
Connecticut(5/23/2022)
RR
Delaware(3/1/2023)
RR
District of Columbia(11/11/2024)
RR
Georgia(10/7/2021)
RR
Illinois(9/28/2021)
RR
Iowa(5/23/2022)
RR
Kentucky(12/3/2021)
RR
Maryland(10/7/2021)
RR
Massachusetts(11/22/2021)
RR
Minnesota(10/7/2021)
RR
Missouri(11/11/2021)
RR
Montana(12/3/2024)
RR
Nebraska(2/17/2023)
RR
New Jersey(10/8/2021)
RR
New York(11/15/2021)
RR
Ohio(10/7/2021)
RR
Oklahoma(10/7/2021)
RR
Oregon(7/15/2024)
RR
Pennsylvania(7/15/2024)
RR
Texas(5/16/2022)
RR
Virginia(9/28/2021)
RR
Washington(5/22/2023)
RR
Wisconsin(7/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral 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)
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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.
