Kimberly S. Fields
Professional summary
Kimberly Sue Fields, who also goes by Kim Fields, Kimberly Fields, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2017. Kimberly has worked at 4 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Sue Fields's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2022 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019September 29, 2020 - June 24, 2022
MACQUARIE CAPITAL (USA) INC.
March 12, 2019 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2019 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2017 - March 14, 2019
EQUITABLE ADVISORS, LLC
September 11, 2017 - March 14, 2019
EQUITABLE ADVISORS, 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
(5/31/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 6/16/2022
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
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
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.
