JM
Joseph C. Merrick
KEYBANC CAPITAL MARKETS
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 4135917
JM
Professional summary
Joseph Clay Merrick, who also goes by Joseph Clay Merrick Mr., is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph Clay Merrick Mr.
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 Joseph Clay Merrick'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
November 12, 2024 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: One North Wacker Suite 2600, Chicago, IL 60606BD
CRD#: 566
CHICAGO, IL
Past
March 29, 2024 - November 19, 2024
BERNSTEIN INSTITUTIONAL SERVICES LLC
BD
CRD#: 317807
Chicago, IL
Past
December 3, 2021 - March 29, 2024
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
CHICAGO, IL
Past
April 20, 2011 - December 20, 2021
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
CHICAGO, IL
Past
September 24, 2007 - March 14, 2011
ARITAS SECURITIES LLC
BD
CRD#: 128453
CHICAGO, IL
Past
May 26, 2005 - September 19, 2007
CUTLER GROUP, LLC
BD
CRD#: 31730
SAN FRANCISCO, CA
Past
May 5, 2000 - May 14, 2004
KNIGHT CAPITAL MARKETS LLC
BD
CRD#: 38379
PURCHASE, 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(11/20/2024)
RR
Alaska(11/18/2024)
RR
Arizona(11/26/2024)
RR
Arkansas(11/22/2024)
RR
California(11/13/2024)
RR
Colorado(11/18/2024)
RR
Connecticut(11/13/2024)
RR
Delaware(11/18/2024)
RR
District of Columbia(11/13/2024)
RR
Florida(11/18/2024)
RR
Georgia(11/15/2024)
RR
Hawaii(11/26/2024)
RR
Idaho(11/18/2024)
RR
Illinois(11/18/2024)
RR
Indiana(11/18/2024)
RR
Iowa(11/18/2024)
RR
Kansas(11/19/2024)
RR
Kentucky(11/20/2024)
RR
Louisiana(12/4/2024)
RR
Maine(11/18/2024)
RR
Maryland(11/22/2024)
RR
Massachusetts(11/13/2024)
RR
Michigan(11/18/2024)
RR
Minnesota(11/21/2024)
RR
Mississippi(11/18/2024)
RR
Missouri(11/13/2024)
RR
Montana(12/2/2024)
RR
Nebraska(11/19/2024)
RR
Nevada(11/19/2024)
RR
New Hampshire(11/26/2024)
RR
New Jersey(11/18/2024)
RR
New Mexico(11/19/2024)
RR
New York(11/24/2024)
RR
North Carolina(11/26/2024)
RR
North Dakota(11/18/2024)
RR
Ohio(11/13/2024)
RR
Oklahoma(11/18/2024)
RR
Oregon(11/15/2024)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/20/2024)
RR
South Carolina(11/19/2024)
RR
South Dakota(11/19/2024)
RR
Tennessee(11/19/2024)
RR
Texas(11/14/2024)
RR
Utah(11/13/2024)
RR
Vermont(11/19/2024)
RR
Virginia(11/21/2024)
RR
Washington(11/19/2024)
RR
West Virginia(12/5/2024)
RR
Wisconsin(11/14/2024)
RR
Wyoming(11/15/2024)
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
RR
Series 55
Date: 9/12/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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.
