SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

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

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  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
 
 
XML Data rendering:  Amendment to Application for Registration by a Municipal Advisor
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/mafiler" xmlns:com="http://www.sec.gov/edgar/common_ma" xmlns:com1="http://www.sec.gov/edgar/common" xmlns:ma="http://www.sec.gov/edgar/ma_drp" xmlns:ma1="http://www.sec.gov/edgar/ma_common_drp">
<headerData>
<submissionType> MA/A </submissionType>
<filerInfo>
<com:filer>
<com1:filerId> 0000724391 </com1:filerId>
<com1:filerCcc> XXXXXXXX </com1:filerCcc>
</com:filer>
<com:contact>
<com1:name> Janet Burns </com1:name>
<com1:phoneNumber> 216-689-0358 </com1:phoneNumber>
</com:contact>
<com:contactEmail> jburns@key.com </com:contactEmail>
<com:notifications>
<com1:internetNotificationAddress> jburns@key.com </com1:internetNotificationAddress>
</com:notifications>
</filerInfo>
</headerData>
<formData>
<firmName> KEYBANC CAPITAL MARKETS INC. </firmName>
<firmCrdNumber> 566 </firmCrdNumber>
<irsNum> 34-1391952 </irsNum>
<registrations>
<baseRegistrations>
<maRegistration>
<com:fileNumber> 867-02341 </com:fileNumber>
</maRegistration>
<baseRegistrations>
<com:bdRegistration>
<com:fileNumber> 008-30177 </com:fileNumber>
<com:crdNumber> 566 </com:crdNumber>
</com:bdRegistration>
<com:iaRegistration>
<com:nonExempt>
<com:stateRegistration>
<com:crdNumber> 326557 </com:crdNumber>
<com:state> CA </com:state>
<com:state> CO </com:state>
<com:state> CT </com:state>
<com:state> FL </com:state>
<com:state> GA </com:state>
<com:state> IL </com:state>
<com:state> MD </com:state>
<com:state> MA </com:state>
<com:state> MN </com:state>
<com:state> NJ </com:state>
<com:state> NY </com:state>
<com:state> OH </com:state>
<com:state> PA </com:state>
<com:state> TX </com:state>
<com:state> VA </com:state>
<com:state> WI </com:state>
</com:stateRegistration>
</com:nonExempt>
</com:iaRegistration>
<com:anotherRegistration>
<com:description> NFA (for Commodity Trading Advisor) </com:description>
<com:registrationId> 0250703 </com:registrationId>
</com:anotherRegistration>
</baseRegistrations></baseRegistrations>
</registrations>
<additionalRegistrations>
<additionalRegistration>
<nameAndRegistration>
<com:name> FINRA </com:name>
<com:registrationId> 566 </com:registrationId>
</nameAndRegistration>
</additionalRegistration>
<additionalRegistration>
<nameAndRegistration>
<com:name> MSRB </com:name>
<com:registrationId> A0953 </com:registrationId>
</nameAndRegistration>
</additionalRegistration>
</additionalRegistrations>
<principalOfficeAddress>
<addressInfo>
<com:address>
<com1:street1> 127 PUBLIC SQUARE </com1:street1>
<com1:street2> OH-01-27-0861 </com1:street2>
<com1:city> CLEVELAND </com1:city>
<com1:stateOrCountry> OH </com1:stateOrCountry>
<com1:zipCode> 44114 </com1:zipCode>
</com:address>
</addressInfo>
<phoneNumber> 216-689-5430 </phoneNumber>
</principalOfficeAddress>
<additionalOffices>
<additionalOffice>
<addDeleteAmend>
<com:add> Add </com:add>
</addDeleteAmend>
<officeInfo>
<addressInfo>
<com:address>
<com1:street1> 1301 Avenue of the Americas </com1:street1>
<com1:street2> Suite 3700 </com1:street2>
<com1:city> New York </com1:city>
<com1:stateOrCountry> NY </com1:stateOrCountry>
<com1:zipCode> 10019 </com1:zipCode>
</com:address>
</addressInfo>
<phoneNumber> 212-476-7456 </phoneNumber>
</officeInfo>
</additionalOffice>
<additionalOffice>
<addDeleteAmend>
<com:add> Add </com:add>
</addDeleteAmend>
<officeInfo>
<addressInfo>
<com:address>
<com1:street1> One California Street </com1:street1>
<com1:city> San Francisco </com1:city>
<com1:stateOrCountry> CA </com1:stateOrCountry>
<com1:zipCode> 94111 </com1:zipCode>
</com:address>
</addressInfo>
<phoneNumber> 415-733-2460 </phoneNumber>
</officeInfo>
</additionalOffice>
</additionalOffices>
<mailingAddressDifferent> N </mailingAddressDifferent>
<primaryWebAddress> www.key.com </primaryWebAddress>
<cco>
<name>
<com:firstName> William </com:firstName>
<com:middleName> Patrick </com:middleName>
<com:lastName> Hayden </com:lastName>
</name>
<address>
<com:address>
<com1:street1> 127 Public Square </com1:street1>
<com1:city> Cleveland </com1:city>
<com1:stateOrCountry> OH </com1:stateOrCountry>
<com1:zipCode> 44114 </com1:zipCode>
</com:address>
</address>
<phoneNumber> 216-689-0803 </phoneNumber>
<email> william.hayden@key.com </email>
</cco>
<contactPerson>
<name>
<com:firstName> Janet </com:firstName>
<com:middleName> Catherine </com:middleName>
<com:lastName> Burns </com:lastName>
</name>
<address>
<com:address>
<com1:street1> 127 Public Square </com1:street1>
<com1:city> Cleveland </com1:city>
<com1:stateOrCountry> OH </com1:stateOrCountry>
<com1:zipCode> 44114 </com1:zipCode>
</com:address>
</address>
<phoneNumber> 216-689-0358 </phoneNumber>
<email> jburns@key.com </email>
</contactPerson>
<businessAffiliates>
<businessAffiliate>
<affiliateName> KeyCorp </affiliateName>
<hasApplicableRegistration> N </hasApplicableRegistration>
</businessAffiliate>
</businessAffiliates>
<formOfOrganization>
<formOrgType>
<formOrgTypes>
<Corporation/>
</formOrgTypes>
</formOrgType>
</formOfOrganization>
<monthOfFiscalYearEnd> December </monthOfFiscalYearEnd>
<organizedJurisdiction>
<com1:stateOrCountry> OH </com1:stateOrCountry>
</organizedJurisdiction>
<dateOfOrganization> 05-18-1983 </dateOfOrganization>
<isPrcApplicant> N </isPrcApplicant>
<numberOfEmployees> 756 </numberOfEmployees>
<employeesEngagedInMAA> 32 </employeesEngagedInMAA>
<maaEmployeesRegBD> 32 </maaEmployeesRegBD>
<maaRegIA> 0 </maaRegIA>
<numberOfSolicitingFirms> 0 </numberOfSolicitingFirms>
<clientsServedAsMA> 11 </clientsServedAsMA>
<typesOfClients>
<typesOfClients>
<clientTypes> Non-profit organizations </clientTypes>
</typesOfClients></typesOfClients>
<numberOfSolicitedME> 0 </numberOfSolicitedME>
<numberOfSolicitedOP> 0 </numberOfSolicitedOP>
<totalNumberOfSolicitedMEAndOP> 0 </totalNumberOfSolicitedMEAndOP>
<typesOfSolicitedPersons>
<solicitationPersonTypes>
<solicitationPersonTypes> Not Applicable </solicitationPersonTypes>
</solicitationPersonTypes>
</typesOfSolicitedPersons>
<meOrOPCompensationTypes>
<compensationTypes>
<compensationTypes> Fixed Fees </compensationTypes>
<compensationTypes> Contingent Fees </compensationTypes>
</compensationTypes>
</meOrOPCompensationTypes>
<solicitationCompensationTypes>
<compensationTypes>
<compensationTypes> Not Applicable </compensationTypes>
</compensationTypes>
</solicitationCompensationTypes>
<receiveCompensationForMAAFromOtherClientsExplanation> 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. </receiveCompensationForMAAFromOtherClientsExplanation>
<engagedActivities>
<engagedActivityTypes>
<engagedActivityType> Advice Insurance Of MS </engagedActivityType>
<engagedActivityType> Advice Investment Of Proceeds MS </engagedActivityType>
<engagedActivityType> Advice ME Investments </engagedActivityType>
<engagedActivityType> Advice Guaranteed IC </engagedActivityType>
<engagedActivityType> Advice Use Of MD </engagedActivityType>
<engagedActivityType> Advice On Selection </engagedActivityType>
</engagedActivityTypes>
</engagedActivities>
<otherActivities>
<brokerDealers>
<isActivelyEngaged> Y </isActivelyEngaged>
<isPrimaryBusiness> Y </isPrimaryBusiness>
</brokerDealers>
<commidityTA>
<isActivelyEngaged> Y </isActivelyEngaged>
</commidityTA>
<investmentAdvisor>
<isActivelyEngaged> Y </isActivelyEngaged>
</investmentAdvisor>
</otherActivities>
<isEngagedInOtherNonMAABusiness> N </isEngagedInOtherNonMAABusiness>
<fiaAssociatedPersonsTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Investment Adviser </fiaAPTypes>
<fiaAPTypes> Swap Dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
<fiaAPTypes> Real estate broker or dealer </fiaAPTypes>
</fiaAssociatedPersonsTypes>
<totalFIAAssociatedPersons> 12 </totalFIAAssociatedPersons>
<fiaAssociatedPersons>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Investment Adviser </fiaAPTypes>
</apTypes>
<legalName> KPB Investment Advisors LLC </legalName>
<primaryBusinessName> KPB Investment Advisors LLC </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> N </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Investment Adviser </fiaAPTypes>
</apTypes>
<legalName> Key Investment Services, LLC </legalName>
<primaryBusinessName> Key Investment Services, LLC </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> N </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
<fiaAPTypes> Other municipal advisor </fiaAPTypes>
</apTypes>
<legalName> KeyBank National Association </legalName>
<primaryBusinessName> KeyBank National Association </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> N </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
</apTypes>
<legalName> Andrew Jackson Paine III </legalName>
<primaryBusinessName> Andrew Jackson Paine III </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Swap Dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
</apTypes>
<legalName> Mark Allan Kovachick </legalName>
<primaryBusinessName> Mark Allan Kovachick </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Swap Dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
</apTypes>
<legalName> Douglas William Preiser </legalName>
<primaryBusinessName> Douglas William Preiser </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
</apTypes>
<legalName> William Patrick Hayden </legalName>
<primaryBusinessName> William Patrick Hayden </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Swap Dealer </fiaAPTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
</apTypes>
<legalName> Douglas Michael Schosser </legalName>
<primaryBusinessName> Douglas Michael Schosser </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
<fiaAPTypes> Swap Dealer </fiaAPTypes>
<fiaAPTypes> Commodity trading advisor </fiaAPTypes>
<fiaAPTypes> Banking/Thrift institution </fiaAPTypes>
</apTypes>
<legalName> Paula Marie Janofsky </legalName>
<primaryBusinessName> Paula Marie Janofsky </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
</apTypes>
<legalName> Carsten Beith </legalName>
<primaryBusinessName> Carsten Beith </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
</apTypes>
<legalName> James Michael Moloney </legalName>
<primaryBusinessName> James Michael Moloney </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
<fiaAssociatedPerson>
<type>
<com:add> Add </com:add>
</type>
<apTypes>
<fiaAPTypes> Broker-dealer municipal securities dealer or government securities broker or dealer </fiaAPTypes>
</apTypes>
<legalName> Bartlett Alfred Plank </legalName>
<primaryBusinessName> Bartlett Alfred Plank </primaryBusinessName>
<otherMunicipalAdviser>
<isControlOrControlled> Y </isControlOrControlled>
<isUnderCommonControl> Y </isUnderCommonControl>
<isRegisteredWithFFRA> N </isRegisteredWithFFRA>
</otherMunicipalAdviser>
</fiaAssociatedPerson>
</fiaAssociatedPersons>
<participationInterestMACT>
<mactBuySellFromClients> N </mactBuySellFromClients>
<mactBuySellRecommendToClients> N </mactBuySellRecommendToClients>
<mactEnterDerivativesWithClients> N </mactEnterDerivativesWithClients>
<mactRecommendOwnedInterestToClients> N </mactRecommendOwnedInterestToClients>
<mactRecommendToClientsServing> Y </mactRecommendToClientsServing>
<mactRecommendToClientsHavingOtherSalesInterest> N </mactRecommendToClientsHavingOtherSalesInterest>
<mactDiscAuthBuySellAsMAA> N </mactDiscAuthBuySellAsMAA>
<mactDiscAuthBuySell> N </mactDiscAuthBuySell>
<mactDiscAuthDetermineBrokerDealer> N </mactDiscAuthDetermineBrokerDealer>
<mactDiscAuthDetermineCommissionToBrokerDealer> N </mactDiscAuthDetermineCommissionToBrokerDealer>
<mactRecommendBrokerDealerToClient> N </mactRecommendBrokerDealerToClient>
<mactCompensateForReferrals> N </mactCompensateForReferrals>
<mactReceiveCompensationForReferrals> N </mactReceiveCompensationForReferrals>
</participationInterestMACT>
<section1215DPublicReportingCompanies>
<section1215DPublicReportingCompany>
<name> KEYCORP /NEW/ </name>
<cik> 0000091576 </cik>
<reportingSchedules>
<reportingSchedule> Schedule A </reportingSchedule>
</reportingSchedules>
</section1215DPublicReportingCompany>
</section1215DPublicReportingCompanies>
<disclosureAnswers>
<criminalDisclosure>
<com:isConvictedOfFelony> N </com:isConvictedOfFelony>
<com:isChargedWithFelony> N </com:isChargedWithFelony>
<com:isOrgConvictedOfFelony> N </com:isOrgConvictedOfFelony>
<com:isOrgChargedWithFelony> N </com:isOrgChargedWithFelony>
</criminalDisclosure>
<regulatoryDisclosure>
<com:isMadeFalseStatement> N </com:isMadeFalseStatement>
<com:isViolatedRegulation> Y </com:isViolatedRegulation>
<com:isCauseOfDenial> N </com:isCauseOfDenial>
<com:isOrderAgainst> Y </com:isOrderAgainst>
<com:isImposedPenalty> Y </com:isImposedPenalty>
<com:isUnEthical> N </com:isUnEthical>
<com:isFoundInViolationOfRegulation> Y </com:isFoundInViolationOfRegulation>
<com:isFoundInCauseOfDenial> N </com:isFoundInCauseOfDenial>
<com:isOrderAgainstActivity> Y </com:isOrderAgainstActivity>
<com:isDeniedLicense> N </com:isDeniedLicense>
<com:isFoundMadeFalseStatement> N </com:isFoundMadeFalseStatement>
<com:isFoundInViolationOfRules> Y </com:isFoundInViolationOfRules>
<com:isFoundInCauseOfSuspension> N </com:isFoundInCauseOfSuspension>
<com:isDiscipliend> Y </com:isDiscipliend>
<com:isAuthorizedToActAttorney> N </com:isAuthorizedToActAttorney>
<com:isRegulatoryComplaint> N </com:isRegulatoryComplaint>
</regulatoryDisclosure>
<civilDisclosure>
<com:isEnjoined> N </com:isEnjoined>
<com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation>
<com:isDismissed> N </com:isDismissed>
<com:isNamedInCivilProceeding> N </com:isNamedInCivilProceeding>
</civilDisclosure>
</disclosureAnswers>
<hasAnnualReceiptsLessThan7Million> N </hasAnnualReceiptsLessThan7Million>
<isAffiliatedWithReceiptsMoreThan7Million> N </isAffiliatedWithReceiptsMoreThan7Million>
<scheduleA>
<businesses>
<business>
<name> Keycorp </name>
<controPersonPR> Y </controPersonPR>
<empIDNumber> N/A </empIDNumber>
<deFeNp>
<de/>
</deFeNp>
<irsNum> 34-6542451 </irsNum>
<baseInformation>
<titleStatus> Sole Shareholder </titleStatus>
<statusAcquired> 10-01-1998 </statusAcquired>
<ownershipCode> E </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 000000000 </crdNumber>
<foreignBusIdNo> N/A </foreignBusIdNo>
</baseInformation>
</business>
</businesses>
<persons>
<person>
<name>
<com:firstName> Andrew </com:firstName>
<com:middleName> Jackson </com:middleName>
<com:lastName> Paine III </com:lastName>
</name>
<baseInformation>
<titleStatus> Managing Director, Director, Head of Corporate and Investment Banking </titleStatus>
<statusAcquired> 05-01-2010 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 2450522 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Mark </com:firstName>
<com:middleName> Allan </com:middleName>
<com:lastName> Kovachick </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Financial Officer, Director </titleStatus>
<statusAcquired> 01-01-2012 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 5390571 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Douglas </com:firstName>
<com:middleName> William </com:middleName>
<com:lastName> Preiser </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Executive Officer, Director </titleStatus>
<statusAcquired> 01-01-2006 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 1690776 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> William </com:firstName>
<com:middleName> Patrick </com:middleName>
<com:lastName> Hayden </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Compliance Officer </titleStatus>
<statusAcquired> 03-01-2013 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 4136632 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Douglas </com:firstName>
<com:middleName> Michael </com:middleName>
<com:lastName> Schosser </com:lastName>
</name>
<baseInformation>
<titleStatus> Director </titleStatus>
<statusAcquired> 12-01-2010 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 5072079 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Paula </com:firstName>
<com:middleName> Marie </com:middleName>
<com:lastName> Janofsky </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Operations Officer, Director </titleStatus>
<statusAcquired> 07-01-2008 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 2882776 </crdNumber>
</baseInformation>
</person>
</persons>
</scheduleA>
<scheduleC>
<directBusinesses>
<business>
<baseInformation>
<name> Keycorp </name>
<controPersonPR> Y </controPersonPR>
<empIDNumber> N/A </empIDNumber>
<deFeNp>
<de/>
</deFeNp>
<irsNum> 34-6542451 </irsNum>
<baseInformation>
<titleStatus> Sole Shareholder </titleStatus>
<statusAcquired> 10-01-1998 </statusAcquired>
<ownershipCode> E </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 000000000 </crdNumber>
<foreignBusIdNo> N/A </foreignBusIdNo>
</baseInformation></baseInformation>
</business>
</directBusinesses>
<directPersons>
<person>
<baseInformation>
<name>
<com:firstName> Andrew </com:firstName>
<com:middleName> Jackson </com:middleName>
<com:lastName> Paine III </com:lastName>
</name>
<baseInformation>
<titleStatus> Managing Director, Director, Head of Corporate and Investment Banking </titleStatus>
<statusAcquired> 05-01-2010 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 2450522 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<baseInformation>
<name>
<com:firstName> Mark </com:firstName>
<com:middleName> Allan </com:middleName>
<com:lastName> Kovachick </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Financial Officer, Director </titleStatus>
<statusAcquired> 01-01-2012 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 5390571 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<baseInformation>
<name>
<com:firstName> Douglas </com:firstName>
<com:middleName> William </com:middleName>
<com:lastName> Preiser </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Executive Officer, Director </titleStatus>
<statusAcquired> 01-01-2006 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 1690776 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<baseInformation>
<name>
<com:firstName> William </com:firstName>
<com:middleName> Patrick </com:middleName>
<com:lastName> Hayden </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Compliance Officer </titleStatus>
<statusAcquired> 03-01-2013 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 4136632 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<baseInformation>
<name>
<com:firstName> Douglas </com:firstName>
<com:middleName> Michael </com:middleName>
<com:lastName> Schosser </com:lastName>
</name>
<baseInformation>
<titleStatus> Director </titleStatus>
<statusAcquired> 12-01-2010 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 5072079 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<baseInformation>
<name>
<com:firstName> Paula </com:firstName>
<com:middleName> Marie </com:middleName>
<com:lastName> Janofsky </com:lastName>
</name>
<baseInformation>
<titleStatus> Chief Operations Officer, Director </titleStatus>
<statusAcquired> 07-01-2008 </statusAcquired>
<ownershipCode> NA </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 2882776 </crdNumber>
</baseInformation></baseInformation>
</person>
</directPersons>
</scheduleC>
<drpInfo>
<ma:regulatoryDisclosure>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-C4 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> Keybanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1869926 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1936781 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-D2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1897889 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-C4 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1864359 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1673695 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1644830 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1611193 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1597239 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1540875 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1538168 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1534458 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1466466 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1388888 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:apDrpFiledCount> 1 </ma:apDrpFiledCount>
<ma:drpFor>
<ma1:ap/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:apInfo>
<ma:associatedPerson>
<ma:apType>
<ma:firmInfo> Key Investment Services LLC </ma:firmInfo>
</ma:apType>
<ma:registrationInfo>
<ma:isSECRegistered> Y </ma:isSECRegistered>
<ma:secRegistrationNumber> 008-66999 </ma:secRegistrationNumber>
</ma:registrationInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 2064700 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:associatedPerson>
</ma:apInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-C2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1954282 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:apDrpFiledCount> 1 </ma:apDrpFiledCount>
<ma:drpFor>
<ma1:ap/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:apInfo>
<ma:associatedPerson>
<ma:apType>
<ma:firmInfo> Key Investment Services LLC </ma:firmInfo>
</ma:apType>
<ma:registrationInfo>
<ma:isSECRegistered> Y </ma:isSECRegistered>
<ma:secRegistrationNumber> 008-66999 </ma:secRegistrationNumber>
</ma:registrationInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1865619 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:associatedPerson>
</ma:apInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-D2 </ma:responseQuestion>
<ma:responseQuestion> 9-D4 </ma:responseQuestion>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
<ma:responseQuestion> 9-E4 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1723446 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:apDrpFiledCount> 1 </ma:apDrpFiledCount>
<ma:drpFor>
<ma1:ap/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-E4 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:apInfo>
<ma:associatedPerson>
<ma:apType>
<ma:naturalPersonInfo>
<com:firstName> Scott </com:firstName>
<com:middleName> Edwards </com:middleName>
<com:lastName> Sandbo </com:lastName>
</ma:naturalPersonInfo>
</ma:apType>
<ma:registrationInfo>
<ma:isSECRegistered> N </ma:isSECRegistered>
<ma:crdNumber> 2410092 </ma:crdNumber>
</ma:registrationInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KeyBanc Capital Markets Inc. </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 1782071 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:associatedPerson>
</ma:apInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-C2 </ma:responseQuestion>
<ma:responseQuestion> 9-C5 </ma:responseQuestion>
<ma:responseQuestion> 9-E2 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KEYBANC CAPITAL MARKETS INC </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 2261131 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
<ma:regulatoryDrp>
<ma:headerData>
<ma:baseHeader>
<ma:type>
<ma1:amend/>
</ma:type>
<ma:drpFor>
<ma1:applicant/>
</ma:drpFor>
</ma:baseHeader>
<ma:respondingTo>
<ma:responseQuestion> 9-C2 </ma:responseQuestion>
<ma:responseQuestion> 9-C4 </ma:responseQuestion>
<ma:responseQuestion> 9-C5 </ma:responseQuestion>
</ma:respondingTo>
</ma:headerData>
<ma:applicantInfo>
<ma:drpInfo>
<ma:filedDisclosure>
<ma:advBDU4Filing>
<ma1:name> KEYBANC CAPITAL MARKETS </ma1:name>
<ma1:crdNumber> 566 </ma1:crdNumber>
<ma1:disclosureNumber> 2321724 </ma1:disclosureNumber>
</ma:advBDU4Filing>
</ma:filedDisclosure>
</ma:drpInfo>
</ma:applicantInfo>
</ma:regulatoryDrp>
</ma:regulatoryDisclosure>
</drpInfo>
<maExecutionPage>
<signature>
<com1:signature> Janet C Burns </com1:signature>
<com1:signerName> Janet C Burns </com1:signerName>
<com1:title> Director, Risk and Controls </com1:title>
<com1:date> 03-15-2024 </com1:date>
</signature>
</maExecutionPage>
<controls>
<isSolePropietor> N </isSolePropietor>
<hasNameChange> N </hasNameChange>
<hasDBAName> N </hasDBAName>
<hasPreviousDBAName> N </hasPreviousDBAName>
<hasAdditionalDBANames> N </hasAdditionalDBANames>
<hasMATReg> N </hasMATReg>
<additionalRegs> Y </additionalRegs>
<additionalOffices> Y </additionalOffices>
<hasMailingAddress> N </hasMailingAddress>
<hasAdditionalWebsites> N </hasAdditionalWebsites>
<hasBooksRecords> N </hasBooksRecords>
<isRegisteredFFRA> N </isRegisteredFFRA>
<isAffiliatedOtherBus> Y </isAffiliatedOtherBus>
<independentBusinessEmployee> N </independentBusinessEmployee>
<receiveCompensationForMAAFromOtherClients> Y </receiveCompensationForMAAFromOtherClients>
<isSucceedingApplicant> N </isSucceedingApplicant>
<isCPForApplicantPolicy> N </isCPForApplicantPolicy>
<isPRCompanyUnder1215> Y </isPRCompanyUnder1215>
<hasScheduleB> N </hasScheduleB>
<isSection12Or15ReportingCompany> N </isSection12Or15ReportingCompany>
<isOtherNonMAABuisinesssPrimary> N </isOtherNonMAABuisinesssPrimary>
</controls>
</formData>
</edgarSubmission>


↑Top
Filing Submission 0000724391-24-000016   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Wed., May 1, 2:40:39.1am ET