Thomas E. Roszko
Professional summary
Thomas Edward Roszko, who also goes by Thomas E Roszko, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Roszko's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2021 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019September 14, 2015 - September 28, 2021
STEPHENS
May 19, 2008 - September 25, 2015
JEFFERIES LLC
November 20, 1996 - May 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/4/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/16/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
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
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