Rishi M. Soni
Professional summary
Rishi Mukesh Soni, who also goes by Rishi M Soni, Rishi Soni, is a registered financial professional currently at OPPENHEIMER & CO. INC. located in New York, New York and KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Rishi is registered as a RR (Registered Representative) and started their career in finance in 2014. Rishi has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rishi Mukesh Soni's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2022 - Present
OPPENHEIMER & CO. INC.
Office #1: 85 Broad Street 23rd Floor, New York, NY 10004November 5, 2025 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019January 10, 2022 - January 6, 2023
DEUTSCHE BANK SECURITIES INC.
September 8, 2020 - August 12, 2021
UBS SECURITIES LLC
November 21, 2014 - April 14, 2020
UBS SECURITIES LLC
May 2, 2014 - November 13, 2014
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2025)
(12/16/2022)
Exams
Cboe Exchange, Inc.
FINRA
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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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