GM
George V. Mohan
KEYBANC CAPITAL MARKETS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 4197772
GM
Professional summary
George Vasa Mohan is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Cleveland, Ohio.
George is registered as a RR (Registered Representative) and started their career in finance in 2000. George has worked at 2 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view George Vasa Mohan'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
February 3, 2003 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 127 Public Square, Cleveland, OH 44114BD
CRD#: 566
Cleveland, OH
Past
October 7, 2005 - February 20, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
CLEVELAND, OH
Past
July 21, 2000 - December 5, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(6/5/2008)
RR
Alaska(6/5/2008)
RR
Arizona(6/5/2008)
RR
Arkansas(6/5/2008)
RR
California(2/3/2003)
RR
Colorado(7/5/2006)
RR
Connecticut(6/12/2003)
RR
Delaware(9/21/2007)
RR
District of Columbia(8/19/2003)
RR
Florida(6/12/2003)
RR
Georgia(3/10/2008)
RR
Idaho(6/5/2008)
RR
Illinois(6/12/2003)
RR
Indiana(5/29/2003)
RR
Iowa(6/5/2008)
RR
Kansas(1/27/2005)
RR
Kentucky(5/26/2005)
RR
Louisiana(6/5/2008)
RR
Maine(5/29/2003)
RR
Maryland(6/12/2003)
RR
Massachusetts(5/29/2003)
RR
Michigan(5/29/2003)
RR
Minnesota(6/12/2003)
RR
Mississippi(6/5/2008)
RR
Missouri(6/5/2008)
RR
Montana(6/10/2015)
RR
Nebraska(6/5/2008)
RR
Nevada(6/5/2008)
RR
New Hampshire(6/5/2008)
RR
New Jersey(5/29/2003)
RR
New Mexico(6/5/2008)
RR
New York(5/29/2003)
RR
North Carolina(6/5/2008)
RR
North Dakota(12/13/2018)
RR
Ohio(2/3/2003)
RR
Oklahoma(2/26/2008)
RR
Oregon(6/5/2008)
RR
Pennsylvania(5/21/2003)
RR
Rhode Island(6/12/2003)
RR
South Carolina(6/5/2008)
RR
South Dakota(6/5/2008)
RR
Tennessee(3/3/2005)
RR
Texas(6/12/2003)
RR
Utah(6/5/2008)
RR
Vermont(5/29/2003)
RR
Virginia(6/12/2003)
RR
Washington(6/5/2008)
RR
West Virginia(10/18/2007)
RR
Wisconsin(5/26/2005)
RR
Wyoming(6/5/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
