Steven L. Dixon
Professional summary
Steven Lance Dixon, who also goes by Steven L. Dixon, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Charlotte, North Carolina.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Lance Dixon's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2021 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 5935 Carnegie Blvd., Charlotte, NC 28209September 17, 2015 - May 10, 2021
REGIONS SECURITIES LLC
September 5, 2013 - June 12, 2015
U.S. BANCORP INVESTMENTS, INC.
November 1, 2010 - October 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2004 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
November 2, 2001 - April 29, 2004
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
(10/11/2021)
(10/11/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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