AL
Andrew S. Lewis
KEY INVESTMENT SERVICES LLC
Warsaw, IN 46580
Some features on this profile are disabled
CRD#: 2187326
AL
Professional summary
Andrew Scott Lewis, who also goes by Andy Lewis, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Warsaw, Indiana.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Andrew has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Lewis
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.
1.)Grace College- 200 Seminary Ave Winona Lake, IN 46590- Assistant Tennis Coach- $2000 income- 10 hrs/month- None during trading hours.
2.) SDL Holdings-LLC.2303 Eastwood Rd. Winona Lake, IN 46590. Rental House-Agent, 2 hrs/mo, zero during trading hours. Zero Income.
3.) Warsaw Community Tennis Assoc.- P O Box 1261 Warsaw, IN 48581. Tennis Lessons through park department. Position- President. 2 hrs/mo. zero during trading hours and zero income.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Scott Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Scott Lewis'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
January 9, 2006 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 119 East Center Street, Warsaw, IN 46580RIA
BD
CRD#: 136300
Warsaw, IN
Current
January 3, 2006 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 119 East Center Street, Warsaw, IN 46580RIA
BD
CRD#: 136300
Warsaw, IN
Past
October 27, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
October 25, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
MISHAWAKA, IN
Past
November 26, 2003 - September 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WARSAW, IN
Past
November 25, 2003 - September 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 1, 2001 - November 26, 2003
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
WARSAW, IN
Past
December 14, 1999 - November 26, 2003
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
March 12, 1996 - February 17, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 24, 1995 - February 17, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 19, 1995 - April 4, 1996
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
September 19, 1995 - April 4, 1996
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
December 4, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
December 4, 1991 - September 13, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(1/6/2021)
RR
Arizona(12/19/2013)
RR
California(4/28/2016)
RR
Florida(1/3/2008)
RR
Georgia(8/29/2013)
RR
Hawaii(3/28/2022)
RR
Illinois(8/31/2010)
RR
Indiana(1/9/2006)
IAR
Indiana(1/9/2006)
RR
Kansas(1/9/2020)
RR
Kentucky(1/8/2020)
RR
Michigan(1/3/2006)
RR
Montana(10/20/2017)
RR
New Mexico(9/17/2015)
RR
New York(8/28/2025)
RR
North Carolina(1/31/2013)
RR
Ohio(1/3/2006)
RR
Oklahoma(7/10/2023)
RR
South Carolina(6/6/2012)
RR
Tennessee(5/18/2018)
RR
Texas(4/30/2010)
RR
West Virginia(1/15/2020)
RR
Wisconsin(6/16/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
