Jay A. Flack
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.
Jay Alan Flack, who also goes by Jay A Flack, Jay Flack, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1993. Jay had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2017 - September 1, 2021
KEY INVESTMENT SERVICES LLC
December 2, 2013 - March 1, 2017
VALIC FINANCIAL ADVISORS, INC.
November 13, 2013 - March 1, 2017
VALIC FINANCIAL ADVISORS, INC.
October 18, 2013 - November 14, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
August 11, 2011 - July 31, 2013
VALIC FINANCIAL ADVISORS, INC.
July 8, 2011 - July 31, 2013
VALIC FINANCIAL ADVISORS, INC.
January 11, 2011 - July 26, 2011
W&S BROKERAGE SERVICES, INC.
November 13, 2009 - December 1, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 1, 2010
PNC WEALTH MANAGEMENT LLC
August 22, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 15, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 29, 2007 - July 24, 2008
MSI FINANCIAL SERVICES, INC.
July 2, 2007 - July 24, 2008
MSI FINANCIAL SERVICES, INC.
February 14, 2005 - June 26, 2007
ALLSTATE FINANCIAL SERVICES, LLC
June 27, 1994 - February 16, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
April 6, 1993 - May 16, 1994
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 1993 - May 16, 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.
