Joan B. Kaye
Professional summary
Joan B Kaye, who also goes by Joan Cavett Bierbower, Joan Bierbower Kaye, Joan C Kaye, Joan Cavett Kaye, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Middleburg, Virginia.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Joan has worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7, Series 15, Series 3, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joan B Kaye's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joan B Kaye's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
February 8, 2019 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144June 16, 2014 - July 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2012 - July 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2011 - September 19, 2012
FLI INVESTORS, LLC
June 1, 2009 - June 3, 2011
MORGAN STANLEY
January 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 6, 2005 - October 25, 2007
BUTLER CAPITAL PARTNERS
May 24, 1996 - August 4, 2000
UBS SECURITIES LLC
May 17, 1996 - May 24, 1996
UBS SECURITIES LLC
January 22, 1992 - May 28, 1996
ROBERT R. MEREDITH & CO., INC.
June 5, 1984 - January 24, 1992
MORGAN STANLEY & CO. LLC
December 11, 1981 - June 1, 1984
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
(2/8/2019)
(2/8/2019)
(3/26/2021)
(7/30/2025)
Exams
Series 15
Date: 5/12/1986
Foreign Currency Options ExaminationSeries 8
Date: 1/31/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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.
