Kristen M. Giroux
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.
Kristen Marie Giroux, who also goes by Kristen Marie Hendrickson, Kristen Robinson Hendrickson, Kristen Marie Robinson, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1992. Kristen had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - February 11, 2015
KEY INVESTMENT SERVICES LLC
October 15, 2009 - July 18, 2012
CHASE INVESTMENT SERVICES CORP.
July 12, 1999 - August 24, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
July 14, 1994 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
August 20, 1993 - July 13, 1994
CETERA WEALTH SERVICES, LLC
July 31, 1993 - August 13, 1993
CITIGROUP GLOBAL MARKETS INC.
July 7, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 6, 1992 - April 25, 1992
U.S. SECURITIES CLEARING CORP.
January 17, 1992 - March 6, 1992
PRINCETON AMERICAN EQUITIES CORPORATION
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.
