Timothy J. Schaefer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy James Schaefer was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1978. Timothy had worked at 12 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2010 - May 6, 2014
KEYBANC CAPITAL MARKETS INC.
April 2, 2009 - May 4, 2010
CHAPDELAINE TULLETT PREBON, LLC
November 3, 1998 - March 31, 2009
BANC OF AMERICA SECURITIES LLC
June 8, 1998 - November 19, 1998
UBS FINANCIAL SERVICES INC.
September 24, 1996 - May 20, 1998
CITICORP SECURITIES, INC.
April 2, 1993 - January 11, 1995
UBS FINANCIAL SERVICES INC.
February 19, 1988 - February 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 7, 1986 - February 10, 1988
E. F. HUTTON & COMPANY INC
July 8, 1985 - April 10, 1986
UBS SECURITIES LLC
August 16, 1984 - June 27, 1985
CITIGROUP GLOBAL MARKETS INC.
July 16, 1979 - August 6, 1984
LEHMAN BROTHERS INC.
January 18, 1978 - July 16, 1979
LOEB PARTNERS
January 3, 1978 - January 18, 1978
LOEB RHOADES & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent 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.
