Geoffrey C. Smith
Professional summary
Geoffrey Carl Smith is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Seattle, Washington.
Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 1998. Geoffrey has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey Carl Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2014 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Fifth Avenue, Seattle, WA 98101December 1, 2009 - May 20, 2011
MACQUARIE CAPITAL (USA) INC.
December 1, 2008 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
September 10, 2001 - August 9, 2007
LEHMAN BROTHERS INC.
March 13, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/5/2014)
(1/28/2015)
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
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