Chao W. Mui
Professional summary
Chao Wen Mui, who also goes by Chao Wen Mui, Chao Mui, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Chao is registered as a RR (Registered Representative) and started their career in finance in 2001. Chao has worked at 7 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chao Wen Mui's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2024 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019May 5, 2022 - April 18, 2024
DEUTSCHE BANK SECURITIES INC.
November 19, 2013 - September 15, 2021
MACQUARIE CAPITAL (USA) INC.
November 1, 2010 - December 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2006 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
December 20, 2002 - July 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2001 - November 8, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2024)
(11/19/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current 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.
