Kimberly A. Koop
Professional summary
Kimberly Ann Koop, who also goes by Kimberly Ann Slusser, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2003. Kimberly has worked at 8 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Ann Koop's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019January 16, 2024 - April 10, 2024
BARCLAYS CAPITAL INC.
July 29, 2014 - January 16, 2024
KEYBANC CAPITAL MARKETS INC.
January 14, 2013 - July 25, 2014
IRC SECURITIES LLC
July 26, 2012 - October 10, 2012
MAXIM GROUP LLC
January 31, 2011 - October 3, 2011
MAXIM GROUP LLC
September 20, 2007 - April 1, 2010
WEDBUSH SECURITIES INC.
October 13, 2004 - March 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2003 - September 17, 2004
SUSQUEHANNA FINANCIAL GROUP, LLLP
February 11, 2003 - August 13, 2003
PNC CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2024)
(3/21/2024)
Exams
FINRA
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.
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