Jerry Shpak
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.
Jerry Shpak was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1983. Jerry had worked at 21 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2017 - June 30, 2023
KEY INVESTMENT SERVICES LLC
May 9, 2017 - June 30, 2023
KEY INVESTMENT SERVICES LLC
May 31, 2016 - May 9, 2017
CUSO FINANCIAL SERVICES, L.P.
May 31, 2016 - May 9, 2017
CUSO FINANCIAL SERVICES, L.P.
August 20, 2014 - May 26, 2016
INVESTMENT PROFESSIONALS, INC.
April 29, 2014 - May 26, 2016
INVESTMENT PROFESSIONALS, INC.
August 4, 2003 - May 1, 2014
LPL FINANCIAL LLC
November 1, 2001 - May 1, 2014
LPL FINANCIAL LLC
July 27, 2000 - October 31, 2001
OSAIC INSTITUTIONS, INC.
October 25, 1999 - August 24, 2000
SPELMAN & CO., INC.
August 25, 1999 - October 13, 1999
FORESTERS FINANCIAL SERVICES, INC.
May 18, 1998 - August 18, 1999
BERKSHIRE EQUITY SALES, INC.
September 27, 1995 - December 16, 1997
INVEST FINANCIAL CORPORATION
June 1, 1995 - July 24, 1995
ESSEX NATIONAL SECURITIES, LLC
January 30, 1995 - July 21, 1995
FIRST INTERSTATE INVESTMENTS,INC.
January 21, 1993 - February 6, 1995
HAMILTON INVESTMENTS, INC.
April 7, 1992 - January 25, 1993
MARKETING ONE SECURITIES, INC.
December 4, 1991 - April 8, 1992
GRIFFIN FINANCIAL SERVICES
May 30, 1991 - November 29, 1991
CAPITAL BROKERAGE CORPORATION
August 10, 1990 - March 2, 1992
FIRST CHARTER SECURITIES CORP.
June 23, 1989 - August 15, 1990
KAVANAUGH SECURITIES, INC.
November 23, 1987 - July 29, 1989
FINANCIAL WEST INVESTMENT GROUP
January 14, 1987 - November 24, 1987
TITAN/VALUE EQUITIES GROUP, INC.
September 27, 1983 - January 10, 1987
E. F. HUTTON & COMPANY INC
September 23, 1983 - March 2, 1984
UBS FINANCIAL SERVICES 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
