HB
Harold B. Birch
KEYBANC CAPITAL MARKETS
New York, NY 10019
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CRD#: 3105118
HB
Professional summary
Harold B Birch, who also goes by Brian Birch, Harold Brian Birch, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1997. Harold has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 25, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Birch | Harold Brian Birch
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.
CRS (Client Relationship Summary) - BD
Click below to view Harold B Birch'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®
NoneExperience
Current
September 28, 2021 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019BD
CRD#: 566
New York, NY
Past
August 4, 2020 - September 27, 2021
STONEX OUTSOURCED SERVICES LLC
BD
CRD#: 30773
Park City, UT
Past
May 10, 2019 - June 30, 2020
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
December 17, 2012 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 8, 2006 - December 10, 2012
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
August 26, 2002 - February 23, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
BALA CYNWYD, PA
Past
August 20, 1997 - August 30, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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
Alabama(11/17/2021)
RR
Alaska(11/17/2021)
RR
Arizona(11/17/2021)
RR
Arkansas(11/17/2021)
RR
California(11/17/2021)
RR
Colorado(11/17/2021)
RR
Connecticut(11/17/2021)
RR
Delaware(11/17/2021)
RR
District of Columbia(11/17/2021)
RR
Florida(11/17/2021)
RR
Georgia(11/17/2021)
RR
Hawaii(11/17/2021)
RR
Idaho(11/17/2021)
RR
Illinois(11/17/2021)
RR
Indiana(11/17/2021)
RR
Iowa(11/17/2021)
RR
Kansas(11/17/2021)
RR
Kentucky(11/17/2021)
RR
Louisiana(11/17/2021)
RR
Maine(11/17/2021)
RR
Maryland(11/17/2021)
RR
Massachusetts(11/17/2021)
RR
Michigan(11/17/2021)
RR
Minnesota(11/17/2021)
RR
Mississippi(11/17/2021)
RR
Missouri(11/17/2021)
RR
Montana(11/17/2021)
RR
Nebraska(11/17/2021)
RR
Nevada(11/17/2021)
RR
New Hampshire(11/17/2021)
RR
New Jersey(11/17/2021)
RR
New Mexico(11/17/2021)
RR
New York(9/28/2021)
RR
North Carolina(11/17/2021)
RR
North Dakota(11/17/2021)
RR
Ohio(11/17/2021)
RR
Oklahoma(11/17/2021)
RR
Oregon(11/17/2021)
RR
Pennsylvania(11/17/2021)
RR
Puerto Rico(11/17/2021)
RR
Rhode Island(11/17/2021)
RR
South Carolina(11/17/2021)
RR
South Dakota(11/17/2021)
RR
Tennessee(11/17/2021)
RR
Texas(11/17/2021)
RR
Utah(9/28/2021)
RR
Vermont(11/17/2021)
RR
Virginia(11/17/2021)
RR
Washington(11/17/2021)
RR
West Virginia(11/17/2021)
RR
Wisconsin(11/17/2021)
RR
Wyoming(11/17/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 2/17/2000
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 12/3/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
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)
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.
