James J. Haass
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.
James Joseph Haass, who also goes by Jim Haass, Jimmy Joseph Haass, Jimmy Haass, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 10 firms and has passed the Series 66, 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
May 14, 2013 - June 6, 2016
KEY INVESTMENT SERVICES LLC
February 3, 2012 - May 15, 2013
M&T SECURITIES, INC.
February 3, 2012 - May 15, 2013
M&T SECURITIES, INC.
June 15, 2010 - February 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 28, 2010 - February 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 8, 2006 - May 10, 2010
HSBC SECURITIES (USA) INC.
December 1, 2005 - April 25, 2006
CITIZENS SECURITIES, INC.
March 1, 2005 - December 1, 2005
CHARTER ONE SECURITIES, INC.
October 9, 2002 - March 4, 2005
KEYBANC CAPITAL MARKETS INC.
December 20, 2000 - September 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1994 - December 4, 1996
ROBERT W. BAIRD & CO. INCORPORATED
December 8, 1992 - October 19, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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.
