KEY INVESTMENT SERVICES LLC of BROOKLYN, OH is an SEC-registered investment adviser (CRD 136300). Regulatory assets under management: $8.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
Showing 25 of 42 people.
| Name | Role | Location |
|---|---|---|
| SMITH TAFT JAMES | DIRECTOR OF PRODUCTS AND SERVICES | CHICAGO, IL |
| Paul Alfred Ii Weick | CHIEF LEGAL OFFICER | — |
| Matthew Todd Gulla | CHIEF ADMINISTRATIVE OFFICER | — |
| Mark Allan Kovachick | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/DIRECTOR | — |
| Joseph Briel Skarda | HEAD OF KEY WEALTH MANAGEMENT | — |
| Giuseppe Nmn Calabrese | CO-CEO/PRESIDENT | — |
| Solomon Lee Schmidt | CO-CEO/PRESIDENT | — |
| Burton Bruce Nicholas Hotz | CHIEF RISK OFFICER | — |
| Paula Marie Janofsky | CHIEF OPERATIONS OFFICER; OPERATIONS OFFICER | — |
| William Patrick Hayden | CHIEF COMPLIANCE OFFICER | — |
| HAYDEN MICHAEL PATRICK | CHIEF COMPLIANCE OFFICER | — |
| VOSEN MARC ALAN | CEO/PRESIDENT | — |
| MAROUSEK GARY JAMES | CHIEF COMPLIANCE OFFICER | — |
| HANSEN PAUL ANTHONY | CHIEF EXECUTIVE OFFICER, CO-PRESIDENT / CHIEF OPERATIONS OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT; CHIEF OPERATIONS OFFICER | — |
| MARTIN LAWRENCE EDWARD | CHIEF FINANCIAL OFFICER | — |
| SCHLEY DAVID MICHAEL | REGISTERED MUNICIPAL PRINCIPAL | — |
| KOVACHICK MARK ALLAN | CHIEF FINANCIAL OFFICER | — |
| SKARDA JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | — |
| SCHMIDT DONALD LEE | CO-CEO/PRESIDENT | — |
| SHARPE MICHAEL RYAN | DIRECTOR OF PRODUCTS | — |
| ARONICA CHARLES RAYMOND | REGIONAL MANAGER | — |
| DEPASQUALE WALTER JOSEPH JR | REGIONAL MANAGER | — |
| COON JAMES B | REGIONAL MANAGER | — |
| WEICK PAUL ALFRED II | CHIEF LEGAL OFFICER; GENERAL COUNSEL | — |
| GULLA MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER - INTERIM | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-21 | regulatory | THE SEC ENTERED AN ORDER (THE "ORDER") AGAINST KIS THAT ALLEGED THAT KIS WILLFULLY VIOLATED RULE 15L-1(A)(1) OF THE EXCHANGE ACT AND SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. ACCORDING TO THE ORDER, BETWEEN JUNE 30, 2020 AND FEBRUARY 2022, KEY INVESTMENT SERVICES F… | Final | $223K |
| 2024-02-09 | regulatory | THE SEC PROCEEDINGS ARISE OUT EMPLOYEES COMMUNICATED BOTH INTERNALLY AND EXTERNALLY BY PERSONAL TEXT MESSAGES ("OFF-CHANNEL COMMUNICATIONS"). FROM AT LEAST JANUARY 2019, KIS AND KBCM EMPLOYEES SENT ANDRECEIVED OFF-CHANNEL COMMUNICATIONS THAT RELATED TO THE BROKER-DEALER BUSINESSES OPERATEDBY KIS AND… | Final | $10.0M |
| 2019-12-05 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS AND PROCEDURES THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS SUITABILITY OBLIGATIONS WHEN RECOMMENDING CERTAIN UNIT… | Final | $425K |
| 2016-01-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UITS RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES OF APPROXIMATELY $95,254.34. THE… | Final | $100K |
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