Thomas F. Hogg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas F Hogg JR, who also goes by Thomas F Hogg, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 9 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2018 - August 21, 2020
KEYBANC CAPITAL MARKETS INC.
November 3, 2017 - May 8, 2018
WALL STREET ACCESS
January 5, 2015 - October 17, 2017
BROWNSTONE INVESTMENT GROUP, LLC
October 21, 2013 - November 28, 2014
GUGGENHEIM SECURITIES, LLC
March 1, 2013 - October 1, 2013
SANTANDER US CAPITAL MARKETS LLC
January 30, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
November 2, 2009 - January 30, 2012
JEFFERIES LLC
March 18, 2009 - November 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2009 - March 17, 2009
BANC OF AMERICA SECURITIES LLC
June 26, 2006 - February 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 57TO
Date: 12/22/2022
Securities Trader ExamSeries 55
Date: 5/4/2010
Limited Representative-Equity Trader ExamCurrent 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
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.
