Anthony L. Slabaugh

KEYBANC CAPITAL MARKETS

New York, NY 10019

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CRD#: 3242015

Professional summary

Anthony Laverne Slabaugh is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2000. Anthony has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

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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 19, 2019 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019

CRD#: 566

New York, NY

Past

April 5, 2016 - August 28, 2019

BB&T SECURITIES, LLC

CRD#: 142785

NEW YORK, NY

Past

May 28, 2015 - March 29, 2016

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

August 26, 2014 - May 4, 2015

CRT CAPITAL GROUP LLC

CRD#: 28830

New York, NY

Past

June 28, 2011 - July 23, 2014

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

September 15, 2008 - June 15, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

Past

February 5, 2007 - May 6, 2008

JEFFERIES LLC

CRD#: 2347

CLEVELAND, OH

Past

May 10, 2000 - February 2, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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

New York
(8/19/2019)

Exams

State Security Law Exam

Series 63

Date: 3/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2018

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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)

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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

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Anthony L. Slabaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Laverne Slabaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

BB&T SECURITIES, LLC

SG AMERICAS SECURITIES, LLC

CRT CAPITAL GROUP LLC

CANTOR FITZGERALD & CO.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

JEFFERIES LLC

KEYBANC CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2000

Series 24

Date: 12/11/2018

FINRA

Nasdaq Stock Market

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

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