James P. Sheehan

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CRD#: 2336866

Professional summary

James Patrick Sheehan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, James had worked at 9 firms, which includes KEY INVESTMENT SERVICES LLC, INVEST FINANCIAL CORPORATION, FIRSTMERIT SECURITIES INC., THE HUNTINGTON INVESTMENT COMPANY, IFMG SECURITIES INC., NATCITY INVESTMENTS INC., BANC ONE SECURITIES CORPORATION, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Jamie Sheehan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 10, 2008 - October 30, 2008

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

LAKEWOOD, OH

Past

December 14, 2007 - October 30, 2008

KEY INVESTMENT SERVICES LLC

CRD#: 136300

LAKEWOOD, OH

Past

April 26, 2006 - November 12, 2007

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CLEVELAND, OH

Past

July 1, 2005 - November 12, 2007

INVEST FINANCIAL CORPORATION

CRD#: 12984

CLEVELAND, OH

Past

December 16, 2003 - July 1, 2005

FIRSTMERIT SECURITIES, INC.

CRD#: 35057

AKRON, OH

Past

June 4, 2001 - December 10, 2003

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

July 20, 1999 - April 30, 2001

FIRSTMERIT SECURITIES, INC.

CRD#: 35057

AKRON, OH

Past

August 19, 1998 - May 24, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 1, 1998 - June 8, 1999

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

August 26, 1994 - March 30, 1998

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 14, 1993 - April 11, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 14, 1993 - April 11, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/13/1993

General Securities Representative Examination

Current Firm

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

KIS FORM ADV PART 2A APPENDIX 1 (4/21/2025)

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

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.

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Firm Stability Insights

James P. Sheehan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

FIRSTMERIT SECURITIES, INC.

THE HUNTINGTON INVESTMENT COMPANY

FIRSTMERIT SECURITIES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

BANC ONE SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2008

Series 63

Date: 12/13/1994

Series 7

Date: 4/13/1993

Current Firm

KEY INVESTMENT SERVICES LLC

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

KEY INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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