Richard J. Marsh

KEY INVESTMENT SERVICES LLC

Liverpool, NY

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CRD#: 2165786

Professional summary

Richard James Marsh JR, who also goes by Richard James Marsh Jr, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Liverpool, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard James Marsh Jr

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.

STARTING 07/17/2017; WILMINGTON TRUST, N.A., ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF WILMINGTON TRUST, N.A. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard James Marsh JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard James Marsh JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 16, 2024 - Present

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

Liverpool, NY

Current

July 10, 2024 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144

RIA

CRD#: 136300

Brooklyn, OH

Past

June 9, 2021 - December 31, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAZENOVIA, NY

Past

June 9, 2021 - December 31, 2023

LPL FINANCIAL LLC

CRD#: 6413

CAZENOVIA, NY

Past

April 21, 2021 - June 9, 2021

M&T SECURITIES, INC.

RIA

CRD#: 17358

Buffalo, NY

Past

November 22, 2000 - June 9, 2021

M&T SECURITIES, INC.

CRD#: 17358

Buffalo, NY

Past

April 19, 2000 - December 4, 2000

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

August 21, 1996 - April 6, 2000

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 1, 1995 - August 21, 1996

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

August 3, 1994 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 26, 1991 - July 27, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 26, 1991 - July 27, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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.

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

Connecticut
(7/17/2024)

New York
(7/16/2024)

IAR

New York
(8/16/2024)

Pennsylvania
(7/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 7/10/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/24/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/27/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

KIS FORM ADV PART 2A APPENDIX 1 (4/21/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Richard J. Marsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard James Marsh JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard James Marsh JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CHASE INVESTMENT SERVICES CORP.

FISERV INVESTOR SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2021

Series 63

Date: 8/23/1991

Series 52TO

Date: 7/10/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/2/1995

Series 6

Date: 8/23/1991

Series 53

Date: 3/24/2010

Series 24

Date: 12/27/1996

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

KEY INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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