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CR

Charles J. Riether

KEYBANC CAPITAL MARKETS
New York, NY 10019
Some features on this profile are disabled
CRD#: 5951284
CR

Professional summary

Charles J Riether III, who also goes by Charles James Riether III, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2011. Charles has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles James Riether Iii

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 Charles J Riether III'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

January 21, 2025 - Present

KEYBANC CAPITAL MARKETS INC.

Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019
BD
CRD#: 566
New York, NY
Past

April 30, 2019 - January 14, 2025

HILLTOP SECURITIES INC.

BD
CRD#: 6220
NEW YORK, NY
Past

June 1, 2017 - November 30, 2018

HUNT FINANCIAL SECURITIES

BD
CRD#: 169919
Rye Brook, NY
Past

December 1, 2015 - July 8, 2016

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
GREENWICH, CT
Past

December 6, 2011 - November 17, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
GLASTONBURY, CT
Past

August 26, 2011 - November 17, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
GLASTONBURY, CT

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
Arizona
(11/11/2025)
RR
California
(2/12/2025)
RR
Connecticut
(1/21/2025)
RR
Delaware
(3/25/2025)
RR
Illinois
(10/13/2025)
RR
Maryland
(2/4/2025)
RR
Massachusetts
(2/4/2025)
RR
Minnesota
(2/20/2025)
RR
New Jersey
(4/9/2025)
RR
New Mexico
(2/19/2026)
RR
New York
(1/21/2025)
RR
Ohio
(12/17/2025)
RR
Tennessee
(1/12/2026)
RR
Vermont
(2/4/2025)
RR
Virginia
(3/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KEYCORPSOLE SHAREHOLDER
GILBERT, STACY LEEDIRECTOR5316644
HAYDEN, WILLIAM PATRICKCHIEF COMPLIANCE OFFICER4136632
JANOFSKY, PAULA MARIECHIEF OPERATIONS OFFICER, DIRECTOR2882776
KOVACHICK, MARK ALLANDIRECTOR, CFO5390571
PAINE, ANDREW JACKSON IIIMANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING2450522
PREISER, DOUGLAS WILLIAMCHIEF EXECUTIVE OFFICER, DIRECTOR1690776
SKARDA, JOSEPH BRIELDIRECTOR4288186

Disclosures

Regulatory Event40
Arbitration15
Bond1

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.

Company Information

KEYBANC CAPITAL MARKETS INC.

CRD#: 566New York, NY 10019

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