Gregory J. Frentzen
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.
Gregory John Frentzen SR, who also goes by Greg Frentzen Sr, Gregory John Frentzen Sr., was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 17 firms and has passed the Series 65, 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
September 21, 2016 - November 15, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - November 15, 2016
KEY INVESTMENT SERVICES LLC
June 21, 2010 - September 22, 2016
LPL FINANCIAL LLC
June 21, 2010 - September 21, 2016
LPL FINANCIAL LLC
June 14, 2010 - June 21, 2010
LPL FINANCIAL LLC
June 14, 2010 - June 21, 2010
LPL FINANCIAL LLC
October 9, 2006 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
October 9, 2006 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
September 20, 2005 - October 9, 2006
CETERA INVESTMENT SERVICES LLC
August 24, 2004 - October 9, 2006
CETERA INVESTMENT SERVICES LLC
May 13, 2002 - August 24, 2004
BNY MELLON SECURITIES LLC
January 8, 2001 - May 17, 2002
TD WEALTH MANAGEMENT SERVICES INC.
October 23, 1998 - January 9, 2001
LEGG MASON WOOD WALKER, INCORPORATED
June 4, 1998 - October 28, 1998
FIRST UNION BROKERAGE SERVICES, INC.
May 20, 1998 - May 21, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
April 1, 1996 - May 11, 1998
IFMG SECURITIES, INC.
November 17, 1992 - April 1, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 17, 1992 - April 1, 1996
OSAIC FA, INC.
March 25, 1992 - December 7, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 25, 1992 - December 7, 1992
PRUCO SECURITIES, LLC.
January 12, 1989 - December 31, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
January 12, 1989 - December 31, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 5, 1984 - February 1, 1985
PRUCO SECURITIES, LLC.
April 18, 1984 - December 13, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 23, 1983 - May 25, 1984
PRUCO SECURITIES, LLC.
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.
