Kevin Pezze

KEY INVESTMENT SERVICES LLC

Clifton Park, NY 12065

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CRD#: 1105091

Professional summary

Kevin Pezze, who also goes by Pezman Pezman, Kev Pezze, Kevin Michael Pezze, Kiev Pezze, Kevin M Pezze, is a registered financial professional currently at KEY INVESTMENT SERVICES LLC located in Clifton Park, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1983. Kevin has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pezman Pezman | Kev Pezze | Kevin Michael Pezze | Kiev Pezze | Kevin M Pezze

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 Kevin Pezze'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

August 24, 2022 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 1703 Route 9, Clifton Park, NY 12065

RIA

CRD#: 136300

Clifton Park, NY

Past

April 14, 2020 - July 30, 2021

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Albany, NY

Past

August 13, 2018 - July 30, 2019

PRUCO SECURITIES, LLC.

CRD#: 5685

Latham, NY

Past

September 13, 2017 - August 6, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Albany, NY

Past

September 21, 2016 - September 6, 2017

KEY INVESTMENT SERVICES LLC

CRD#: 136300

AMSTERDAM, NY

Past

July 14, 2014 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

DELMAR, NY

Past

February 18, 2013 - July 15, 2014

WADDELL & REED

CRD#: 866

ALBANY, NY

Past

January 22, 1998 - October 22, 1998

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

October 1, 1997 - January 22, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

August 29, 1997 - October 1, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

June 24, 1996 - August 28, 1997

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 23, 1995 - May 30, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 1, 1990 - October 2, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

August 1, 1990 - June 30, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

July 12, 1985 - December 31, 1989

G. R. PHELPS & CO., INC.

CRD#: 173

Past

October 4, 1984 - July 15, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

October 11, 1983 - December 31, 1989

G. R. PHELPS & CO., INC.

CRD#: 173

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
(8/24/2022)

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: 4/13/2013

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: 1/22/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/15/2013

Investment Company Products/Variable Contracts Representative 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

Kevin Pezze

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Pezze's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

OSAIC INSTITUTIONS, INC.

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

WADDELL & REED

WALL STREET FINANCIAL GROUP, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

USLIFE EQUITY SALES CORP.

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

G. R. PHELPS & CO., INC.

SIGNATOR INVESTORS, INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/22/2018

Series 6

Date: 2/15/2013

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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