Wendy A. Nanna

KEY INVESTMENT SERVICES LLC

Brooklyn, OH 44144

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CRD#: 1082400

Professional summary

Wendy Ann Nanna, who also goes by Wendy Ann Cummings, is a registered financial professional currently at KEY INVESTMENT SERVICES LLC located in Brooklyn, Ohio.

Wendy is registered as a RR (Registered Representative) and started their career in finance in 1992. Wendy has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy Ann Cummings

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy Ann Nanna's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 7, 2016 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144

RIA

CRD#: 136300

Brooklyn, OH

Past

September 18, 2013 - December 7, 2016

M&T SECURITIES, INC.

CRD#: 17358

BUFFALO, NY

Past

October 19, 2011 - September 27, 2013

INVESTACORP, INC.

CRD#: 7684

BUFFALO, NY

Past

March 17, 2010 - October 28, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BUFFALO, NY

Past

May 27, 2009 - March 30, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

BUFFALO, NY

Past

October 14, 2005 - July 16, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BUFFALO, NY

Past

February 28, 2002 - September 27, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

May 14, 1999 - January 8, 2002

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

November 29, 1995 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

February 17, 1995 - November 28, 1995

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

February 19, 1993 - January 27, 1995

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

November 12, 1992 - February 12, 1993

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

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".

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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.

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

New York
(12/7/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

KIS FORM ADV PART 2A APPENDIX 1 (4/21/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Wendy A. Nanna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy Ann Nanna's CRS (Customer Relationship Summary).

Certified licenses

Experience

M&T SECURITIES, INC.

INVESTACORP, INC.

HORNOR, TOWNSEND & KENT, LLC

SECURITIES AMERICA, INC.

CITIGROUP GLOBAL MARKETS INC.

SECURITIES AMERICA, INC.

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

M&T SECURITIES, INC.

KEY INVESTMENTS INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/9/1992

Series 24

Date: 4/15/1996

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

KEY INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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