Frank H. Godfrey
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.
Frank Harrison Godfrey was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 11 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 18, 2015 - September 19, 2017
KEY INVESTMENT SERVICES LLC
June 26, 2014 - January 14, 2015
CUNA BROKERAGE SERVICES, INC.
June 25, 2014 - January 14, 2015
CUNA BROKERAGE SERVICES, INC.
October 1, 2012 - October 15, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 15, 2013
J.P. MORGAN SECURITIES LLC
May 18, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 18, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 1, 2006 - May 14, 2007
WELLS FARGO INVESTMENTS, LLC
April 29, 2006 - May 14, 2007
WELLS FARGO INVESTMENTS, LLC
May 7, 2003 - March 9, 2006
BTS ASSET MANAGEMENT, INC.
April 5, 2002 - May 10, 2006
SECU BROKERAGE SERVICES
March 28, 2000 - April 5, 2002
COMMONWEALTH FINANCIAL NETWORK
March 6, 2000 - April 11, 2000
AMERITAS INVESTMENT COMPANY, LLC
October 20, 1998 - March 28, 2000
CETERA WEALTH SERVICES, LLC
September 18, 1986 - August 19, 1998
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.
