Eric A. Appel
Professional summary
Eric Allen Appel is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Houston, Texas.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1996. Eric has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 79TO, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Allen Appel's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2020 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 600 Travis Suite 3100, Houston, TX 77002November 1, 2010 - June 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
April 3, 2008 - March 4, 2009
BANC OF AMERICA SECURITIES LLC
May 17, 2005 - June 5, 2006
CHIRON INVESTMENTS, LLC
April 2, 2004 - December 31, 2005
MEMORIAL ALPHA ADVISORS, LP
July 1, 2003 - December 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 7, 2000 - April 28, 2000
UBS FINANCIAL SERVICES INC.
August 13, 1996 - April 10, 2000
PRUDENTIAL EQUITY GROUP, 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
(10/13/2020)
Exams
Series 79TO
Date: 9/1/2020
Investment Banking Registered Representative ExaminationSeries 28
Date: 4/19/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
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
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Company Information
KEYBANC CAPITAL MARKETS INC.
CRD#: 566Houston, TX 77002TRUST BUT VERIFY
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