Henry J. Dellaquila
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.
Henry John Dellaquila, who also goes by Hank Dellaquila, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1982. Henry had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - July 1, 2011
KEY INVESTMENT SERVICES LLC
May 14, 1999 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
June 1, 1993 - May 14, 1999
KEY INVESTMENTS INC.
October 1, 1990 - May 14, 1993
IFMG SECURITIES, INC.
May 24, 1989 - October 29, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
January 31, 1989 - May 30, 1989
WESTMORELAND CAPITAL CORPORATION
July 14, 1988 - January 18, 1989
JONATHAN ALAN & CO., INC.
April 6, 1988 - July 28, 1988
WESTMORELAND CAPITAL CORPORATION
July 18, 1986 - July 25, 1988
NORTH AMERICAN INVESTMENT CORP.
November 9, 1983 - July 21, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
January 17, 1983 - November 15, 1983
THOMSON MCKINNON SECURITIES INC.
March 30, 1982 - December 13, 1982
FITTIN, CUNNINGHAM & LAUZON, INC.
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.
