Kevin Pezze
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.
Kevin Pezze, who also goes by Pezman Pezman, Kev Pezze, Kevin Michael Pezze, Kiev Pezze, Kevin M Pezze, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2022 - January 14, 2026
KEY INVESTMENT SERVICES LLC
April 14, 2020 - July 30, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 13, 2018 - July 30, 2019
PRUCO SECURITIES, LLC.
September 13, 2017 - August 6, 2018
OSAIC INSTITUTIONS, INC.
September 21, 2016 - September 6, 2017
KEY INVESTMENT SERVICES LLC
July 14, 2014 - September 21, 2016
LPL FINANCIAL LLC
February 18, 2013 - July 15, 2014
WADDELL & REED
January 22, 1998 - October 22, 1998
WALL STREET FINANCIAL GROUP, INC.
October 1, 1997 - January 22, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
August 29, 1997 - October 1, 1997
USLIFE EQUITY SALES CORP.
June 24, 1996 - August 28, 1997
LPL FINANCIAL LLC
June 23, 1995 - May 30, 1996
OSAIC WEALTH, INC.
August 1, 1990 - October 2, 1993
SIGNATOR INVESTORS, INC.
August 1, 1990 - June 30, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 12, 1985 - December 31, 1989
G. R. PHELPS & CO., INC.
October 4, 1984 - July 15, 1985
SIGNATOR INVESTORS, INC.
October 11, 1983 - December 31, 1989
G. R. PHELPS & CO., 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.
