PS
Philip R. Stire
KEY INVESTMENT SERVICES LLC
Hudson, NY 12534
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CRD#: 1380192
PS
Professional summary
Philip Ralph Stire, who also goes by Philip R. Stire, Philip Stire, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Hudson, New York.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Philip has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 15 and Series 5 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip R. Stire | Philip Stire
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.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Ralph Stire's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Ralph Stire's 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®
NoneExperience
Current
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 160 Fairview Ave Suite 40, Hudson, NY 12534RIA
BD
CRD#: 136300
Hudson, NY
Current
May 16, 2008 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 160 Fairview Ave Suite 40, Hudson, NY 12534RIA
BD
CRD#: 136300
Hudson, NY
Past
April 18, 2006 - May 12, 2008
MCGINN, SMITH ADVISORS LLC
RIA
CRD#: 137827
ALBANY, NY
Past
February 14, 2005 - May 12, 2008
MCGINN, SMITH & CO., INC.
BD
CRD#: 8453
ALBANY, NY
Past
June 7, 2004 - February 7, 2005
SOLEIL SECURITIES CORPORATION
BD
CRD#: 124737
NEW YORK, NY
Past
October 8, 2002 - February 13, 2004
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
December 17, 1996 - October 10, 2002
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
July 31, 1996 - January 1, 1997
HOAK BREEDLOVE WESNESKI & CO.
BD
CRD#: 23728
DALLAS, TX
Past
February 13, 1996 - August 9, 1996
SC SECURITIES CORP.
BD
CRD#: 37922
Past
January 24, 1995 - March 11, 1996
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
September 27, 1991 - January 24, 1995
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
March 28, 1989 - October 8, 1991
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
September 16, 1985 - April 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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".
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(1/8/2024)
RR
Colorado(2/26/2018)
RR
Connecticut(1/14/2013)
RR
Delaware(1/14/2013)
RR
Florida(3/19/2009)
RR
Maine(5/18/2023)
RR
Maryland(1/14/2013)
RR
Massachusetts(12/7/2010)
RR
New Hampshire(1/2/2014)
RR
New Jersey(6/18/2010)
RR
New York(5/16/2008)
IAR
New York(3/26/2021)
RR
North Carolina(11/6/2023)
RR
Pennsylvania(1/9/2015)
RR
Rhode Island(4/15/2013)
RR
South Carolina(10/14/2025)
RR
Vermont(4/27/2015)
RR
Virginia(6/14/2016)
RR
West Virginia(8/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 7/17/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 7/8/1985
Interest Rate Options ExaminationSRO Registrations
RR
FINRA
Current Firm
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
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)
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.
Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Hudson, NY 12534TRUST BUT VERIFY
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