RE
Richard T. Evans
KEY INVESTMENT SERVICES LLC
Copley, OH
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CRD#: 2216986
RE
Professional summary
Richard Todd Evans is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Copley, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 10 and Series 9 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.
1) CORNER PROVISIONS/EDEN WINE BAR-POSITION: Bartender; NATURE: RESTAURANT for profit; INVESTMENT RELATED: No; NUMBER OF HOURS: 30; SECURITIES TRADING HOURS: 0; START DATE: 12/16/2023, ADDRESS: 1070 Ghent Rd, Akron, OH 44333, United States-DESCRIPTION: Bartender; 2) FARMER'S RAIL HUDSON, OH; NATURE: Restaurant and I will be bartending only on weekends; INVESTMENT RELATED: No; NUMBER OF HOURS: 25; SECURITIES TRADING HOURS: 0; START DATE: 02/07/2025; ADDRESS: 98 N Main St, Hudson, OH 44236, United States; DESCRIPTION: Greet and serve customers food and drink
CRS (Client Relationship Summary) - RIA
Click below to view Richard Todd Evans's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Todd Evans'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
August 26, 2020 - Present
KEY INVESTMENT SERVICES LLC
RIA
BD
CRD#: 136300
Copley, OH
Current
July 5, 2018 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Past
December 14, 2016 - August 10, 2017
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
INDEPENDENCE, OH
Past
January 5, 2016 - August 10, 2017
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
INDEPENDENCE, OH
Past
October 31, 2007 - November 6, 2015
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
RICHFIELD, OH
Past
February 17, 2004 - November 6, 2015
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
RICHFIELD, OH
Past
September 27, 1996 - August 5, 2003
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
November 9, 1992 - June 29, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
BD
CRD#: 22171
Past
July 10, 1992 - November 18, 1992
EURO-ATLANTIC SECURITIES INC.
BD
CRD#: 21367
BOCA RATON, FL
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
Alaska(5/24/2022)
RR
Colorado(6/6/2022)
RR
Connecticut(5/23/2022)
RR
Florida(5/24/2022)
RR
Idaho(5/23/2022)
RR
Indiana(7/18/2018)
RR
Maine(5/23/2022)
RR
Massachusetts(6/22/2022)
RR
Michigan(5/25/2022)
RR
New York(5/24/2022)
RR
Ohio(7/5/2018)
IAR
Ohio(8/26/2020)
RR
Oregon(5/24/2022)
RR
Pennsylvania(5/24/2022)
RR
Utah(6/10/2022)
RR
Vermont(5/23/2022)
RR
Washington(6/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
