John D. Urbina
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.
John David Urbina was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 9 firms and has passed the Series 63, SIE and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2010 - June 5, 2018
KEYBANC CAPITAL MARKETS INC.
July 25, 2008 - April 30, 2010
SIEBERT WILLIAMS SHANK & CO., LLC
November 26, 2007 - June 30, 2008
WELLS FARGO SECURITIES, LLC
March 14, 2005 - November 26, 2007
A. G. EDWARDS & SONS, INC.
May 31, 1994 - February 1, 2005
GEORGE K. BAUM & COMPANY
March 8, 1990 - May 31, 1994
GKB, INC.
June 30, 1983 - March 19, 1990
DBLKM INC.
September 17, 1982 - May 29, 1984
SMITH BELLINGHAM INTERNATIONAL, INC.
December 8, 1978 - January 23, 1984
FOSTER & MARSHALL 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
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.
