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MW

Michael G. Wallace

KEYBANC CAPITAL MARKETS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 2900720
MW

Professional summary

Michael Gerard Wallace, who also goes by Michael Wallace, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Cleveland, Ohio.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Wallace

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Gerard Wallace'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®
None

Experience

Current

January 19, 2009 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 127 Public Square, Cleveland, OH 44114
BD
CRD#: 566
Cleveland, OH
Past

December 2, 2004 - February 20, 2007

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
CLEVELAND, OH
Past

June 27, 1997 - February 20, 2007

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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
California
(1/19/2009)
RR
Ohio
(1/20/2009)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/29/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/10/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/30/1997
Financial and Operations Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KEYCORPSOLE SHAREHOLDER
GILBERT, STACY LEEDIRECTOR5316644
HAYDEN, WILLIAM PATRICKCHIEF COMPLIANCE OFFICER4136632
JANOFSKY, PAULA MARIECHIEF OPERATIONS OFFICER, DIRECTOR2882776
KOVACHICK, MARK ALLANDIRECTOR, CFO5390571
PAINE, ANDREW JACKSON IIIMANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING2450522
PREISER, DOUGLAS WILLIAMCHIEF EXECUTIVE OFFICER, DIRECTOR1690776
SKARDA, JOSEPH BRIELDIRECTOR4288186

Disclosures

Regulatory Event40
Arbitration15
Bond1

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.

Company Information

KEYBANC CAPITAL MARKETS INC.

CRD#: 566Cleveland, OH 44114

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