Lawrence T. Mundy
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.
Lawrence Talbot Mundy, who also goes by Lawrence T Mundymundy, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1985. Lawrence had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - June 4, 2013
KEY INVESTMENT SERVICES LLC
January 3, 2006 - June 4, 2013
KEY INVESTMENT SERVICES LLC
November 1, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
November 1, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
October 20, 2004 - November 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 19, 1997 - October 20, 2004
QUICK & REILLY, INC.
April 11, 1997 - September 9, 1997
WELLS FARGO SECURITIES INC.
January 31, 1992 - April 17, 1997
FIDELITY BROKERAGE SERVICES LLC
October 29, 1990 - January 10, 1992
PUGET SOUND SECURITIES, INC.
June 19, 1985 - October 17, 1990
MORGAN STANLEY DW INC.
February 11, 1985 - June 17, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 11, 1985 - June 17, 1985
EQUITABLE ADVISORS, 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
Series 8
Date: 10/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
