Mark R. Lomonaco
Professional summary
Mark Richard Lomonaco is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Batavia, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Richard Lomonaco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Richard Lomonaco's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 69 Main St., Batavia, NY 14020September 21, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 69 Main St., Batavia, NY 14020September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
December 13, 2012 - September 21, 2016
LPL FINANCIAL LLC
October 29, 2012 - September 21, 2016
LPL FINANCIAL LLC
January 5, 2009 - November 5, 2012
HSBC SECURITIES (USA) INC.
December 22, 2008 - November 5, 2012
HSBC SECURITIES (USA) INC.
September 13, 2007 - December 23, 2008
FORESIDE DISTRIBUTION SERVICES, L.P.
July 22, 1997 - June 8, 2007
CHASE INVESTMENT SERVICES CORP.
July 11, 1997 - June 8, 2007
CHASE INVESTMENT SERVICES CORP.
July 20, 1994 - June 20, 1997
KEY INVESTMENTS INC.
December 13, 1993 - June 17, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
July 10, 1992 - December 15, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1991 - December 18, 1992
METROPOLITAN LIFE INSURANCE COMPANY
October 3, 1991 - December 18, 1992
MSI FINANCIAL SERVICES, INC.
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
(9/27/2016)
(3/9/2020)
(10/3/2022)
(11/12/2019)
(1/20/2022)
(9/21/2016)
(9/21/2016)
(9/21/2016)
(3/26/2021)
(9/21/2016)
(9/21/2016)
Exams
FINRA
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.
