Walter J. Depasquale
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Walter Joseph Depasquale JR, who also goes by Wally Depasquale, Walter Depasquale, Walter Joseph Despasquale Jr, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1981. Walter had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 51, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2006 - January 11, 2022
KEY INVESTMENT SERVICES LLC
December 16, 2005 - January 11, 2022
KEY INVESTMENT SERVICES LLC
September 2, 2005 - December 20, 2005
KEYBANC CAPITAL MARKETS INC.
September 2, 2005 - December 20, 2005
KEYBANC CAPITAL MARKETS INC.
September 3, 2004 - September 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 30, 2004 - September 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
January 1, 2000 - September 14, 2004
NATCITY INVESTMENTS, INC.
August 31, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
May 4, 1998 - September 14, 2004
NATCITY INVESTMENTS, INC.
March 26, 1993 - April 16, 1998
UBS FINANCIAL SERVICES INC.
August 29, 1986 - April 14, 1993
SOCIETY INVESTMENTS, INC.
June 7, 1985 - September 30, 1985
KIDDER, PEABODY & CO. INCORPORATED
October 22, 1981 - June 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
