MD
Maureen O. Dowling
KEY INVESTMENT SERVICES LLC
Fairport, NY 14450
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CRD#: 1982816
MD
Professional summary
Maureen Oneill Dowling is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Fairport, New York.
Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Maureen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Maureen Oneill Dowling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maureen Oneill Dowling'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: 6716 Pittsford-palmyra Rd., Fairport, NY 14450RIA
BD
CRD#: 136300
Fairport, NY
Current
July 11, 2012 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 6716 Pittsford-palmyra Rd., Fairport, NY 14450RIA
BD
CRD#: 136300
Fairport, NY
Past
November 30, 2007 - July 11, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
ROCHESTER, NY
Past
January 1, 2005 - July 11, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
ROCHESTER, NY
Past
April 14, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
June 20, 1997 - April 1, 2003
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
October 11, 1996 - June 17, 1997
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
September 20, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
September 20, 1989 - October 7, 1996
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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
Arizona(1/2/2024)
RR
California(7/11/2012)
RR
Colorado(2/3/2014)
RR
Connecticut(1/6/2020)
RR
Delaware(1/19/2022)
RR
District of Columbia(1/27/2021)
RR
Florida(7/12/2012)
RR
Georgia(1/19/2022)
RR
Kentucky(7/11/2012)
RR
Maryland(7/11/2012)
RR
Massachusetts(7/11/2012)
RR
Michigan(7/11/2012)
RR
Minnesota(1/2/2015)
RR
Missouri(6/24/2022)
RR
Nevada(5/14/2015)
RR
New York(7/11/2012)
IAR
New York(3/26/2021)
RR
North Carolina(9/12/2017)
RR
Ohio(5/1/2013)
RR
Pennsylvania(12/8/2021)
RR
South Carolina(10/24/2013)
RR
Virginia(7/11/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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#: 136300Fairport, NY 14450TRUST BUT VERIFY
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Contact information
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