Ronald J. Mercier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Joseph Mercier II, who also goes by Jay Mercier, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2004. Ronald had worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 34, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2021 - November 27, 2023
KEYBANC CAPITAL MARKETS INC.
January 29, 2020 - August 17, 2021
CAPSTONE PARTNERS
October 24, 2018 - August 13, 2019
MSC - BD, LLC
July 24, 2014 - October 9, 2017
COWEN EXECUTION SERVICES LLC
January 12, 2010 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
June 9, 2006 - January 10, 2008
YIELDQUEST SECURITIES, LLC
September 21, 2004 - March 11, 2006
CITIGROUP GLOBAL MARKETS INC.
July 23, 2004 - October 8, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 3/29/2022
Investment Banking Registered Representative ExaminationSeries 55
Date: 2/11/2010
Limited Representative-Equity Trader ExamCurrent 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.
