Thomas G. Ming
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.
Thomas George Ming was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2012 - May 30, 2019
KEY INVESTMENT SERVICES LLC
October 20, 2010 - April 10, 2012
LPL FINANCIAL LLC
October 20, 2010 - April 10, 2012
LPL FINANCIAL LLC
May 19, 2010 - October 5, 2010
CHASE INVESTMENT SERVICES CORP.
May 19, 2010 - October 5, 2010
CHASE INVESTMENT SERVICES CORP.
May 27, 2008 - May 12, 2010
LPL FINANCIAL LLC
May 27, 2008 - May 12, 2010
LPL FINANCIAL LLC
February 28, 2007 - May 27, 2008
IFMG SECURITIES, INC.
February 27, 2007 - May 27, 2008
IFMG SECURITIES, INC.
October 4, 2006 - February 20, 2007
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - February 20, 2007
CHASE INVESTMENT SERVICES CORP.
December 6, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
May 4, 2000 - October 4, 2006
BNY INVESTMENT CENTER INC.
August 19, 1983 - May 11, 2000
METROPOLITAN LIFE INSURANCE COMPANY
August 19, 1983 - May 11, 2000
MSI FINANCIAL SERVICES, 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.
