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Keybanc Capital Markets Inc. – ‘MA/A’ on 4/17/24

On:  Wednesday, 4/17/24, at 3:38pm ET   ·   As of:  3/15/24   ·   Accession #:  724391-24-16   ·   File #:  867-02341

Previous ‘MA’:  ‘MA/A’ on 2/14/24   ·   Latest ‘MA’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/15/24  Keybanc Capital Markets Inc.      MA/A        4/17/24    1:40K

Amendment to Application for Registration by a Municipal Advisor   —   Form MA

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: MA/A        Amendment to Application for Registration by a      HTML     39K 
                Municipal Advisor -- primary_doc.xml


        

This ‘MA/A’ Document is an XML Data File that may be rendered in various formats:

  Form MA    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Amendment to Application for Registration by a Municipal Advisor
 
                                                                                                                                                                                
EDGAR Submission
 
Header Data:
Submission Type:  MA/A
Filer Info:
Filer:
Filer ID:  724391
Filer CCC:  XXXXXXXX
Contact:
Name:  Janet Burns
Phone Number:  216-689-0358
Contact Email:  jburns@key.com
Notifications:
Internet Notification Address:  jburns@key.com
Form Data:
Firm Name:  KEYBANC CAPITAL MARKETS INC.
Firm CRD Number:  566
IRS Num.:  34-1391952
Registrations:
Base Registrations:
MA Registration:
File Number:  867-02341
Base Registrations:
Bd Registration:
File Number:  008-30177
CRD Number:  566
Ia Registration:
Non-Exempt:
State Registration:
CRD Number:  326557
State:  CA
State:  CO
State:  CT
State:  FL
State:  GA
State:  IL
State:  MD
State:  MA
State:  MN
State:  NJ
State:  NY
State:  OH
State:  PA
State:  TX
State:  VA
State:  WI
Another Registration:
Description:  NFA (for Commodity Trading Advisor)
Registration ID:  0250703
Additional Registrations:
Additional Registration:
Name and Registration:
Name:  FINRA
Registration ID:  566
Additional Registration:
Name and Registration:
Name:  MSRB
Registration ID:  A0953
Principal Office Address:
Address Info:
Address:
Street 1:  127 PUBLIC SQUARE
Street 2:  OH-01-27-0861
City:  CLEVELAND
State or Country:  OH
ZIP Code:  44114
Phone Number:  216-689-5430
Additional Offices:
Additional Office:
Add Delete Amend:
Add:  Add
Office Info:
Address Info:
Address:
Street 1:  1301 Avenue of the Americas
Street 2:  Suite 3700
City:  New York
State or Country:  NY
ZIP Code:  10019
Phone Number:  212-476-7456
Additional Office:
Add Delete Amend:
Add:  Add
Office Info:
Address Info:
Address:
Street 1:  One California Street
City:  San Francisco
State or Country:  CA
ZIP Code:  94111
Phone Number:  415-733-2460
Mailing Address Different?  No
Primary Web Address:  www.key.com
CCO:
Name:
First Name:  William
Middle Name:  Patrick
Last Name:  Hayden
Address:
Address:
Street 1:  127 Public Square
City:  Cleveland
State or Country:  OH
ZIP Code:  44114
Phone Number:  216-689-0803
Email:  william.hayden@key.com
Contact Person:
Name:
First Name:  Janet
Middle Name:  Catherine
Last Name:  Burns
Address:
Address:
Street 1:  127 Public Square
City:  Cleveland
State or Country:  OH
ZIP Code:  44114
Phone Number:  216-689-0358
Email:  jburns@key.com
Business Affiliates:
Business Affiliate:
Affiliate Name:  KeyCorp
Has Applicable Registration?  No
Form of Organization:
Form Org. Type:
Form Org. Types:
Corporation
Month of Fiscal Year End:  December
Organized Jurisdiction:
State or Country:  OH
Date of Organization:  5/18/83
Is PRC Applicant?  No
Number of Employees:  756
Employees Engaged in MAA:  32
MAA Employees Reg. BD:  32
MAA Reg. IA:  0
Number of Soliciting Firms:  0
Clients Served as MA:  11
Types of Clients:
Types of Clients:
Client Types:  Non-profit organizations
Number of Solicited ME:  0
Number of Solicited OP:  0
Total Number of Solicited ME and OP:  0
Types of Solicited Persons:
Solicitation Person Types:
Solicitation Person Types:  Not Applicable
ME or OP Compensation Types:
Compensation Types:
Compensation Types:  Fixed Fees
Compensation Types:  Contingent Fees
Solicitation Compensation Types:
Compensation Types:
Compensation Types:  Not Applicable
Receive Compensation for MAA From Other Clients Explanation:  Swaps - In certain instances the Municipal Advisor is compensated by swap counterparties on behalf of the client. This payment mechanism is fully disclosed in the engagement letter. The swap counterparty pays an up-front fee amount to the Municipal Advisor then the client ends up paying back this amount to the swap counterparty over the life of the swap in the form of either a higher fixed pay swap rate, lower fixed receipt swap rate or adjusted floating pay/receipt rate, depending on the structure of the swap. Reinvestment Deals and Escrow Investments - In most instances, the Municipal Advisor is compensated by the reinvestment or escrow provider on behalf of the client. This payment mechanism is fully disclosed in the engagement letter and in the bid specifications for the investment. The reinvestment escrow provider pays an up-front fee amount to the Municipal Advisor and the reinvestment or escrow yield to the client is reduced by a commensurate amount.
Engaged Activities:
Engaged Activity Types:
Engaged Activity Type:  Advice Insurance Of MS
Engaged Activity Type:  Advice Investment Of Proceeds MS
Engaged Activity Type:  Advice ME Investments
Engaged Activity Type:  Advice Guaranteed IC
Engaged Activity Type:  Advice Use Of MD
Engaged Activity Type:  Advice On Selection
Other Activities:
Broker Dealers:
Is Actively Engaged?  Yes
Is Primary Business?  Yes
Commidity TA:
Is Actively Engaged?  Yes
Investment Advisor:
Is Actively Engaged?  Yes
Is Engaged in Other Non-MAA Business?  No
FIA Associated Persons Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Investment Adviser
FIA AP Types:  Swap Dealer
FIA AP Types:  Commodity trading advisor
FIA AP Types:  Banking/Thrift institution
FIA AP Types:  Real estate broker or dealer
Total FIA Associated Persons:  12
FIA Associated Persons:
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Investment Adviser
Legal Name:  KPB Investment Advisors LLC
Primary Business Name:  KPB Investment Advisors LLC
Other Municipal Adviser:
Is Control or Controlled?  No
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Investment Adviser
Legal Name:  Key Investment Services, LLC
Primary Business Name:  Key Investment Services, LLC
Other Municipal Adviser:
Is Control or Controlled?  No
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Banking/Thrift institution
FIA AP Types:  Other municipal advisor
Legal Name:  KeyBank National Association
Primary Business Name:  KeyBank National Association
Other Municipal Adviser:
Is Control or Controlled?  No
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Commodity trading advisor
FIA AP Types:  Banking/Thrift institution
Legal Name:  Andrew Jackson Paine III
Primary Business Name:  Andrew Jackson Paine III
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Swap Dealer
FIA AP Types:  Commodity trading advisor
Legal Name:  Mark Allan Kovachick
Primary Business Name:  Mark Allan Kovachick
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Swap Dealer
FIA AP Types:  Commodity trading advisor
FIA AP Types:  Banking/Thrift institution
Legal Name:  Douglas William Preiser
Primary Business Name:  Douglas William Preiser
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Commodity trading advisor
Legal Name:  William Patrick Hayden
Primary Business Name:  William Patrick Hayden
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Swap Dealer
FIA AP Types:  Banking/Thrift institution
Legal Name:  Douglas Michael Schosser
Primary Business Name:  Douglas Michael Schosser
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
FIA AP Types:  Swap Dealer
FIA AP Types:  Commodity trading advisor
FIA AP Types:  Banking/Thrift institution
Legal Name:  Paula Marie Janofsky
Primary Business Name:  Paula Marie Janofsky
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
Legal Name:  Carsten Beith
Primary Business Name:  Carsten Beith
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
Legal Name:  James Michael Moloney
Primary Business Name:  James Michael Moloney
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
FIA Associated Person:
Type:
Add:  Add
Ap Types:
FIA AP Types:  Broker-dealer municipal securities dealer or government securities broker or dealer
Legal Name:  Bartlett Alfred Plank
Primary Business Name:  Bartlett Alfred Plank
Other Municipal Adviser:
Is Control or Controlled?  Yes
Is Under Common Control?  Yes
Is Registered With FFRA?  No
Participation Interest MACT:
MACT Buy Sell From Clients?  No
MACT Buy Sell Recommend to Clients?  No
MACT Enter Derivatives With Clients?  No
MACT Recommend Owned Interest to Clients?  No
MACT Recommend to Clients Serving?  Yes
MACT Recommend to Clients Having Other Sales Interest?  No
MACT Disc. Auth. Buy Sell as MAA?  No
MACT Disc. Auth. Buy Sell?  No
MACT Disc. Auth. Determine Broker Dealer?  No
MACT Disc. Auth. Determine Commission to Broker Dealer?  No
MACT Recommend Broker Dealer to Client?  No
MACT Compensate for Referrals?  No
MACT Receive Compensation for Referrals?  No
Section 1215D Public Reporting Companies:
Section 1215D Public Reporting Company:
Name:  KEYCORP /NEW/
CIK:  91576
Reporting Schedules:
Reporting Schedule:  Schedule A
Disclosure Answers:
Criminal Disclosure:
Is Convicted of Felony?  No
Is Charged With Felony?  No
Is Org. Convicted of Felony?  No
Is Org. Charged With Felony?  No
Regulatory Disclosure:
Is Made False Statement?  No
Is Violated Regulation?  Yes
Is Cause of Denial?  No
Is Order Against?  Yes
Is Imposed Penalty?  Yes
Is Unethical?  No
Is Found in Violation of Regulation?  Yes
Is Found in Cause of Denial?  No
Is Order Against Activity?  Yes
Is Denied License?  No
Is Found Made False Statement?  No
Is Found in Violation of Rules?  Yes
Is Found in Cause of Suspension?  No
Is Discipliend?  Yes
Is Authorized to Act Attorney?  No
Is Regulatory Complaint?  No
Civil Disclosure:
Is Enjoined?  No
Is Found in Violation of Regulation?  No
Is Dismissed?  No
Is Named in Civil Proceeding?  No
Has Annual Receipts Less Than 7 Million?  No
Is Affiliated With Receipts More Than 7 Million?  No
Schedule A:
Businesses:
Business:
Name:  Keycorp
Control Person PR?  Yes
Emp ID Number:  N/A
De Fe Np:
De
IRS Num.:  34-6542451
Base Information:
Title Status:  Sole Shareholder
Status Acquired:  10/1/98
Ownership Code:  E
Is Control Person?  Yes
CRD Number:  000000000
Foreign Bus. ID No.:  N/A
Persons:
Person:
Name:
First Name:  Andrew
Middle Name:  Jackson
Last Name:  Paine III
Base Information:
Title Status:  Managing Director, Director, Head of Corporate and Investment Banking
Status Acquired:  5/1/10
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  2450522
Person:
Name:
First Name:  Mark
Middle Name:  Allan
Last Name:  Kovachick
Base Information:
Title Status:  Chief Financial Officer, Director
Status Acquired:  1/1/12
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  5390571
Person:
Name:
First Name:  Douglas
Middle Name:  William
Last Name:  Preiser
Base Information:
Title Status:  Chief Executive Officer, Director
Status Acquired:  1/1/06
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  1690776
Person:
Name:
First Name:  William
Middle Name:  Patrick
Last Name:  Hayden
Base Information:
Title Status:  Chief Compliance Officer
Status Acquired:  3/1/13
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  4136632
Person:
Name:
First Name:  Douglas
Middle Name:  Michael
Last Name:  Schosser
Base Information:
Title Status:  Director
Status Acquired:  12/1/10
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  5072079
Person:
Name:
First Name:  Paula
Middle Name:  Marie
Last Name:  Janofsky
Base Information:
Title Status:  Chief Operations Officer, Director
Status Acquired:  7/1/08
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  2882776
Schedule C:
Direct Businesses:
Business:
Base Information:
Name:  Keycorp
Control Person PR?  Yes
Emp ID Number:  N/A
De Fe Np:
De
IRS Num.:  34-6542451
Base Information:
Title Status:  Sole Shareholder
Status Acquired:  10/1/98
Ownership Code:  E
Is Control Person?  Yes
CRD Number:  000000000
Foreign Bus. ID No.:  N/A
Direct Persons:
Person:
Base Information:
Name:
First Name:  Andrew
Middle Name:  Jackson
Last Name:  Paine III
Base Information:
Title Status:  Managing Director, Director, Head of Corporate and Investment Banking
Status Acquired:  5/1/10
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  2450522
Person:
Base Information:
Name:
First Name:  Mark
Middle Name:  Allan
Last Name:  Kovachick
Base Information:
Title Status:  Chief Financial Officer, Director
Status Acquired:  1/1/12
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  5390571
Person:
Base Information:
Name:
First Name:  Douglas
Middle Name:  William
Last Name:  Preiser
Base Information:
Title Status:  Chief Executive Officer, Director
Status Acquired:  1/1/06
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  1690776
Person:
Base Information:
Name:
First Name:  William
Middle Name:  Patrick
Last Name:  Hayden
Base Information:
Title Status:  Chief Compliance Officer
Status Acquired:  3/1/13
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  4136632
Person:
Base Information:
Name:
First Name:  Douglas
Middle Name:  Michael
Last Name:  Schosser
Base Information:
Title Status:  Director
Status Acquired:  12/1/10
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  5072079
Person:
Base Information:
Name:
First Name:  Paula
Middle Name:  Marie
Last Name:  Janofsky
Base Information:
Title Status:  Chief Operations Officer, Director
Status Acquired:  7/1/08
Ownership Code:  NA
Is Control Person?  Yes
CRD Number:  2882776
Drp Info:
Regulatory Disclosure:
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-C4
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  Keybanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,869,926
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,936,781
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-D2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,897,889
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-C4
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,864,359
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,673,695
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,644,830
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,611,193
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,597,239
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,540,875
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,538,168
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,534,458
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,466,466
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,388,888
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Ap Drp Filed Count:  1
Drp for:
Ap
Responding to:
Response Question:  9-E2
Ap Info:
Associated Person:
Ap Type:
Firm Info:  Key Investment Services LLC
Registration Info:
Is SEC Registered?  Yes
SEC Registration Number:  008-66999
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  2,064,700
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-C2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,954,282
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Ap Drp Filed Count:  1
Drp for:
Ap
Responding to:
Response Question:  9-E2
Ap Info:
Associated Person:
Ap Type:
Firm Info:  Key Investment Services LLC
Registration Info:
Is SEC Registered?  Yes
SEC Registration Number:  008-66999
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,865,619
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-D2
Response Question:  9-D4
Response Question:  9-E2
Response Question:  9-E4
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,723,446
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Ap Drp Filed Count:  1
Drp for:
Ap
Responding to:
Response Question:  9-E4
Ap Info:
Associated Person:
Ap Type:
Natural Person Info:
First Name:  Scott
Middle Name:  Edwards
Last Name:  Sandbo
Registration Info:
Is SEC Registered?  No
CRD Number:  2410092
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KeyBanc Capital Markets Inc.
CRD Number:  566
Disclosure Number:  1,782,071
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-C2
Response Question:  9-C5
Response Question:  9-E2
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KEYBANC CAPITAL MARKETS INC
CRD Number:  566
Disclosure Number:  2,261,131
Regulatory Drp:
Header Data:
Base Header:
Type:
Amend
Drp for:
Applicant
Responding to:
Response Question:  9-C2
Response Question:  9-C4
Response Question:  9-C5
Applicant Info:
Drp Info:
Filed Disclosure:
Adv BDU4 Filing:
Name:  KEYBANC CAPITAL MARKETS
CRD Number:  566
Disclosure Number:  2,321,724
MA Execution Page:
Signature:
Signature:  Janet C Burns
Signer Name:  Janet C Burns
Title:  Director, Risk and Controls
Date:  3/15/24
Controls:
Is Sole Propietor?  No
Has Name Change?  No
Has DBA Name?  No
Has Previous DBA Name?  No
Has Additional DBA Names?  No
Has MAT Reg.?  No
Additional Regs.?  Yes
Additional Offices?  Yes
Has Mailing Address?  No
Has Additional Websites?  No
Has Books Records?  No
Is Registered FFRA?  No
Is Affiliated Other Bus.?  Yes
Independent Business Employee?  No
Receive Compensation for MAA From Other Clients?  Yes
Is Succeeding Applicant?  No
Is CP for Applicant Policy?  No
Is PR Company Under 1215?  Yes
Has Schedule B?  No
Is Section 12 or 15 Reporting Company?  No
Is Other Non-MAA Buisinesss Primary?  No


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