Dennis Tom

KEYBANC CAPITAL MARKETS

Chicago, IL 60606

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CRD#: 4753130

Professional summary

Dennis Tom is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Chicago, Illinois.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2004. Dennis has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Tom'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®

None

Experience

Current

April 13, 2015 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 227 W. Monroe St. Suite 1700, Chicago, IL 60606

CRD#: 566

Chicago, IL

Past

May 30, 2012 - April 20, 2015

BMO CAPITAL MARKETS CORP.

CRD#: 16686

CHICAGO, IL

Past

April 3, 2009 - May 23, 2012

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

September 22, 2008 - November 5, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

October 6, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 10, 2004 - September 15, 2006

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(4/13/2015)

New York
(4/13/2015)

Exams

State Security Law Exam

Series 63

Date: 12/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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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

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Firm Stability Insights

Dennis Tom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Tom's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

GUGGENHEIM SECURITIES, LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2004

Series 14

Date: 1/2/2023

Series 24

Date: 5/12/2005

FINRA

Nasdaq Stock Market

Current Firm

KEYBANC CAPITAL MARKETS INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KEYBANC CAPITAL MARKETS INC.

TRUST BUT VERIFY

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