Kauser Hazarika

KEYBANC CAPITAL MARKETS

BOSTON, MA 02110

Some features on this profile are disabled

CRD#: 2933044

Professional summary

Kauser Hazarika, who also goes by Kauser Faisal Hazarika, Kauser Hazarika, Kc Hazarika, Kauser F Hazarika, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Boston, Massachusetts.

Kauser is registered as a RR (Registered Representative) and started their career in finance in 2005. Kauser has worked at 8 firms and has passed the Series 66, SIE, Series 79, Series 7, Series 31, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kauser Faisal Hazarika | Kauser Hazarika | Kc Hazarika | Kauser F Hazarika

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 Kauser Hazarika'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

August 26, 2025 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 225 Franklin Street, Boston, MA 02110

CRD#: 566

BOSTON, MA

Past

January 6, 2020 - April 25, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

BOSTON, MA

Past

January 3, 2020 - April 25, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BOSTON, MA

Past

October 16, 2017 - January 3, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

BOSTON, MA

Past

July 12, 2017 - January 3, 2020

BB&T SECURITIES, LLC

CRD#: 142785

BOSTON, MA

Past

September 12, 2016 - June 22, 2017

MORGAN STANLEY

RIA

CRD#: 149777

WALTHAM, MA

Past

September 12, 2016 - June 22, 2017

MORGAN STANLEY

CRD#: 149777

WALTHAM, MA

Past

October 24, 2014 - January 21, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

September 17, 2014 - January 21, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

Past

January 24, 2011 - March 6, 2012

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

BALTIMORE, MD

Past

January 21, 2011 - March 6, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BALTIMORE, MD

Past

August 5, 2008 - March 30, 2010

PLAINVIEW CAPITAL EQUITY PARTNERS, LLC

RIA

CRD#: 130342

BALTIMORE, MD

Past

March 31, 2006 - May 8, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BOSTON, MA

Past

November 17, 2005 - May 8, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(8/26/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/13/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/17/2014

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 1/18/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 8/21/1997

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kauser Hazarika

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kauser Hazarika's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

PLAINVIEW CAPITAL EQUITY PARTNERS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2014

SIE

Date: 10/1/2018

Series 79

Date: 12/13/2017

Series 7

Date: 9/17/2014

Series 31

Date: 1/18/2006

Series 3

Date: 8/21/1997

Series 24

Date: 8/7/2020

FINRA

Current Firm

KEYBANC CAPITAL MARKETS INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KEYBANC CAPITAL MARKETS INC.

TRUST BUT VERIFY

Similar Advisors