Carmine A. Pugliese
Professional summary
Carmine Anthony Pugliese JR, who also goes by Carmine Jr Pugliese, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Carmine is registered as a RR (Registered Representative) and started their career in finance in 1996. Carmine has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carmine Anthony Pugliese JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2022 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019September 1, 2018 - September 28, 2022
BMO CAPITAL MARKETS CORP.
June 1, 2011 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
November 1, 2010 - April 26, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 3, 1997 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
November 26, 1996 - July 7, 1997
FORESTERS FINANCIAL SERVICES, 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
(1/24/2023)
(10/5/2023)
(11/30/2022)
(6/27/2024)
(11/30/2023)
(1/25/2023)
(11/30/2022)
(11/29/2022)
(10/9/2024)
(10/9/2024)
(11/30/2022)
(5/5/2025)
(11/30/2022)
Exams
FINRA
Nasdaq Stock Market
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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