Sonny H. Mike
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.
Sonny Harland Mike, who also goes by Sonny Harlan Mike, was a registered financial professional .
Sonny is a previously registered financial professional and started their career in finance in 1993. Sonny had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2007 - August 7, 2018
KEY INVESTMENT SERVICES LLC
December 7, 2007 - August 7, 2018
KEY INVESTMENT SERVICES LLC
September 7, 2005 - December 4, 2007
FINTEGRA, LLC
September 7, 2005 - December 4, 2007
FINTEGRA, LLC
September 29, 2003 - September 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 19, 2003 - September 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 11, 2002 - March 18, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2001 - September 13, 2002
WELLS FARGO INVESTMENTS, LLC
February 24, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 18, 1998 - February 23, 1998
KEY INVESTMENTS INC.
January 16, 1998 - February 26, 1998
INVESTACORP, INC.
August 19, 1996 - January 14, 1998
WELLS FARGO SECURITIES INC.
August 18, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 23, 1994 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
February 1, 1993 - January 17, 1994
METROPOLITAN LIFE INSURANCE COMPANY
February 1, 1993 - January 17, 1994
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
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.
