William J. Thoma
Professional summary
William Jude Thoma is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2002. William has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Jude Thoma's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2017 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019June 3, 2013 - May 23, 2017
FHN FINANCIAL SECURITIES CORP.
February 22, 2010 - May 3, 2013
TD SECURITIES (USA) LLC
July 14, 2009 - March 16, 2010
HAPOALIM SECURITIES USA, INC.
January 1, 2002 - February 9, 2009
CITIGROUP GLOBAL MARKETS 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
(6/26/2020)
(6/5/2017)
(6/5/2017)
(9/22/2023)
(6/21/2017)
(9/3/2020)
(8/30/2024)
(9/12/2018)
(2/27/2019)
(8/30/2017)
(6/5/2017)
(8/9/2017)
(6/20/2024)
(10/5/2017)
(6/5/2017)
(5/31/2017)
(6/2/2020)
(7/27/2017)
(8/26/2019)
(7/21/2017)
(12/4/2017)
Exams
FINRA
Nasdaq Stock Market
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
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