AG
Alan B. Goodman
KEY INVESTMENT SERVICES LLC
Liberty, NY 12754
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CRD#: 1006501
AG
Professional summary
Alan Burt Goodman is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Liberty, New York.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Alan has worked at 6 firms and has passed the Series 66, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Liberty Central School Board Audit Committee; not investment-related; 115 Buckley Street, Liberty, NY 12754; committee is comprised of 5 members of the Liberty Central School Board, the Liberty Central School Business Officer and me as a member of the community; we meet with Internal and External Auditors and review the findings of audits and make policy recommendations; title: member of audit committee; start date: around 2011-2012; 2 hours per meeting/4 meetings per year; 0 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Burt Goodman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Burt Goodman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 53 South Main St, Liberty, NY 12754RIA
BD
CRD#: 136300
Liberty, NY
Current
September 21, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 53 South Main St, Liberty, NY 12754RIA
BD
CRD#: 136300
Liberty, NY
Past
May 18, 2012 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
LIBERTY, NY
Past
August 16, 2006 - May 15, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
LIBERTY, NY
Past
November 23, 2004 - July 27, 2006
M&T SECURITIES, INC.
BD
CRD#: 17358
LIBERTY, NY
Past
March 29, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
February 21, 1982 - November 23, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(2/22/2018)
RR
New York(9/21/2016)
IAR
New York(3/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Phone number
(888) 547-2968
Established
Ohio since 06/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,131
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Liberty, NY 12754TRUST BUT VERIFY
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Contact information
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