Andrew C. Ashley

KEYBANC CAPITAL MARKETS

Cleveland, OH 44114

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CRD#: 4826716

Professional summary

Andrew C Ashley is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Cleveland, Ohio.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 31 and Series 7 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 Andrew C Ashley'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

February 13, 2015 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 127 Public Square, Cleveland, OH 44114

CRD#: 566

Cleveland, OH

Past

September 27, 2004 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICAGO, IL

Past

August 30, 2004 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

New York
(5/20/2015)

Ohio
(5/20/2015)

Exams

State Security Law Exam

Series 63

Date: 5/16/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/24/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 2/13/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 31

Date: 12/7/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/27/2004

General Securities Representative Examination

SRO Registrations

FINRA

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

Andrew C. Ashley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew C Ashley's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2015

Series 66

Date: 9/24/2004

SIE

Date: 10/1/2018

Series 79

Date: 2/13/2015

Series 31

Date: 12/7/2004

Series 7

Date: 8/27/2004

FINRA

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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