SA
Samuel M. Adams
KEYBANC CAPITAL MARKETS
COLUMBUS, OH 43215
Some features on this profile are disabled
CRD#: 5919923
SA
Professional summary
Samuel Morgan Adams, who also goes by Sam Morgan Adams, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in Columbus, Ohio.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2011. Samuel has worked at 3 firms and has passed the Series 63, Series 52TO, Series 50, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sam Morgan Adams
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.
CRS (Client Relationship Summary) - BD
Click below to view Samuel Morgan Adams'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®
NoneExperience
Current
September 6, 2016 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 175 South 3rd Street, Columbus, OH 43215BD
CRD#: 566
COLUMBUS, OH
Past
June 12, 2014 - August 26, 2016
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
COLUMBUS, OH
Past
May 24, 2011 - August 15, 2013
LANCASTER POLLARD & CO., LLC
BD
CRD#: 24110
COLUMBUS, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/13/2016)
RR
Arizona(12/13/2016)
RR
Arkansas(12/15/2016)
RR
California(9/7/2016)
RR
Colorado(12/15/2016)
RR
Connecticut(12/13/2016)
RR
Delaware(12/19/2016)
RR
District of Columbia(12/15/2016)
RR
Florida(12/14/2016)
RR
Georgia(12/13/2016)
RR
Idaho(12/13/2016)
RR
Illinois(12/14/2016)
RR
Indiana(12/20/2016)
RR
Iowa(12/14/2016)
RR
Kansas(12/22/2016)
RR
Kentucky(12/14/2016)
RR
Louisiana(12/14/2016)
RR
Maine(12/15/2016)
RR
Maryland(12/19/2016)
RR
Massachusetts(12/14/2016)
RR
Michigan(12/16/2016)
RR
Minnesota(1/3/2017)
RR
Mississippi(12/21/2016)
RR
Missouri(12/16/2016)
RR
Montana(1/23/2017)
RR
Nebraska(12/15/2016)
RR
Nevada(12/22/2016)
RR
New Hampshire(12/13/2016)
RR
New Jersey(12/15/2016)
RR
New Mexico(12/14/2016)
RR
New York(1/6/2017)
RR
North Carolina(12/14/2016)
RR
North Dakota(12/13/2016)
RR
Ohio(9/7/2016)
RR
Oklahoma(12/20/2016)
RR
Oregon(12/20/2016)
RR
Pennsylvania(12/14/2016)
RR
Rhode Island(12/15/2016)
RR
South Carolina(12/14/2016)
RR
South Dakota(12/13/2016)
RR
Tennessee(12/14/2016)
RR
Texas(12/14/2016)
RR
Utah(12/13/2016)
RR
Vermont(12/14/2016)
RR
Virginia(12/13/2016)
RR
Washington(1/17/2017)
RR
West Virginia(1/10/2017)
RR
Wisconsin(12/19/2016)
RR
Wyoming(12/15/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KC
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
BD
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
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.
