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TS

Tad L. Stainbrook

KEYBANC CAPITAL MARKETS
TAMPA , FL 33607
Some features on this profile are disabled
CRD#: 3139135
TS

Professional summary

Tad Louis Stainbrook is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Tampa , Florida.

Tad is registered as a RR (Registered Representative) and started their career in finance in 1998. Tad has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Tad Louis Stainbrook'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

September 16, 2009 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 4211 West Boy Scout Blvd Ste 570, Tampa , FL 33607
BD
CRD#: 566
TAMPA , FL
Past

November 6, 1998 - February 17, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC

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
Florida
(4/17/2025)
RR
Washington
(9/16/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1998
General Securities Representative 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.

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Company Information

KEYBANC CAPITAL MARKETS INC.

CRD#: 566Tampa , FL 33607

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