Frederick L. Chase

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CRD#: 1086519

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.

Frederick Lawrence Chase, who also goes by Fred Lawrence Chase, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Fred Lawrence Chase

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 30, 2014 - July 15, 2019

KEY INVESTMENT SERVICES LLC

CRD#: 136300

STAMFORD, CT

Past

January 9, 2014 - October 23, 2014

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

December 20, 2013 - October 23, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

March 11, 2013 - December 19, 2013

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

CRD#: 103340

RHINEBECK, NY

Past

November 18, 2005 - November 9, 2012

M&T SECURITIES, INC.

CRD#: 17358

MONTGOMERY, NY

Past

October 13, 1999 - November 14, 2005

BNY INVESTMENT CENTER INC.

CRD#: 47683

MADISON, NJ

Past

March 2, 1995 - October 21, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 1, 1995 - April 7, 1995

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

July 23, 1990 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 18, 1983 - April 17, 1989

ADVEST, INC.

CRD#: 10

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 1/7/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/13/1984

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: 1/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/31/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/1995

General Securities Principal Examination

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

Frederick L. Chase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

M&T SECURITIES, INC.

BNY INVESTMENT CENTER INC.

ESSEX NATIONAL SECURITIES, LLC

FISERV INVESTOR SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

ADVEST, INC.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2014

Series 63

Date: 3/13/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1983

Series 51

Date: 3/31/2003

Series 24

Date: 11/3/1995

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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