KEY INVESTMENT SERVICES LLC

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.

Registration

Business model

Compensation: % of AUM.

Clients served: High net worth, Charities.

Officers, owners & control persons (42)

Showing 25 of 42 people.

NameRoleLocation
SMITH TAFT JAMESDIRECTOR OF PRODUCTS AND SERVICESCHICAGO, IL
Paul Alfred Ii WeickCHIEF LEGAL OFFICER
Matthew Todd GullaCHIEF ADMINISTRATIVE OFFICER
Mark Allan KovachickCHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/DIRECTOR
Joseph Briel SkardaHEAD OF KEY WEALTH MANAGEMENT
Giuseppe Nmn CalabreseCO-CEO/PRESIDENT
Solomon Lee SchmidtCO-CEO/PRESIDENT
Burton Bruce Nicholas HotzCHIEF RISK OFFICER
Paula Marie JanofskyCHIEF OPERATIONS OFFICER; OPERATIONS OFFICER
William Patrick HaydenCHIEF COMPLIANCE OFFICER
HAYDEN MICHAEL PATRICKCHIEF COMPLIANCE OFFICER
VOSEN MARC ALANCEO/PRESIDENT
MAROUSEK GARY JAMESCHIEF COMPLIANCE OFFICER
HANSEN PAUL ANTHONYCHIEF EXECUTIVE OFFICER, CO-PRESIDENT / CHIEF OPERATIONS OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT; CHIEF OPERATIONS OFFICER
MARTIN LAWRENCE EDWARDCHIEF FINANCIAL OFFICER
SCHLEY DAVID MICHAELREGISTERED MUNICIPAL PRINCIPAL
KOVACHICK MARK ALLANCHIEF FINANCIAL OFFICER
SKARDA JOSEPH BRIELHEAD OF KEY WEALTH MANAGEMENT
SCHMIDT DONALD LEECO-CEO/PRESIDENT
SHARPE MICHAEL RYANDIRECTOR OF PRODUCTS
ARONICA CHARLES RAYMONDREGIONAL MANAGER
DEPASQUALE WALTER JOSEPH JRREGIONAL MANAGER
COON JAMES BREGIONAL MANAGER
WEICK PAUL ALFRED IICHIEF LEGAL OFFICER; GENERAL COUNSEL
GULLA MATTHEW TODDCHIEF ADMINISTRATIVE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER - INTERIM

Disclosures (27)

InitiatedTypeAllegationsStatusAmount
2024-05-21regulatoryTHE 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
2024-02-09regulatoryTHE 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
2019-12-05regulatoryWITHOUT 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
2016-01-27regulatoryWITHOUT 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
regulatory

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