John P. Mcinerney

KEY INVESTMENT SERVICES LLC

Mt. Kisco, NY 10549

Some features on this profile are disabled

CRD#: 2447566

Professional summary

John Patrick Mcinerney Jr., CFP®, who also goes by John Patrick Mcinerney Jr, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Mt. Kisco, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Patrick Mcinerney Jr

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) - RIA

Click below to view John Patrick Mcinerney Jr.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Mcinerney Jr.'s CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

September 21, 2016 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 50 Main St, Mt. Kisco, NY 10549

RIA

CRD#: 136300

Mt. Kisco, NY

Current

September 21, 2016 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 50 Main St, Mt. Kisco, NY 10549

RIA

CRD#: 136300

Mt. Kisco, NY

Past

May 15, 2012 - September 21, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

STAMFORD, CT

Past

May 15, 2012 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

STAMFORD, CT

Past

May 2, 2007 - May 15, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MOUNT KISCO, NY

Past

April 26, 2007 - May 15, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

MOUNT KISCO, NY

Past

October 7, 2004 - April 16, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

YONKERS, NY

Past

October 7, 2004 - April 16, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

YONKERS, NY

Past

August 13, 2001 - October 19, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

May 30, 1997 - December 21, 1999

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 21, 1994 - April 28, 1995

TEXAS CAPITAL SECURITIES, INC.

CRD#: 25564

HOUSTON, TX

Past

September 27, 1994 - April 28, 1995

TEXAS CAPITAL SECURITIES, INC.

CRD#: 25564

Past

August 2, 1994 - September 30, 1994

AMERICORP SECURITIES, INC.

CRD#: 30405

NEW YORK, NY

Past

February 16, 1994 - August 3, 1994

TEXAS CAPITAL SECURITIES, INC.

CRD#: 25564

HOUSTON, TX

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(4/27/2018)

Connecticut
(9/21/2016)

IAR

Connecticut
(12/22/2016)

Delaware
(9/21/2016)

Florida
(9/23/2016)

Georgia
(9/21/2016)

Maryland
(12/12/2017)

Massachusetts
(9/21/2016)

New Jersey
(9/21/2016)

New Mexico
(9/21/2016)

New York
(9/21/2016)

North Carolina
(6/26/2017)

South Carolina
(1/2/2020)

Texas
(1/2/2019)

Vermont
(1/4/2021)

Virginia
(9/21/2016)

Washington
(1/6/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/17/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/26/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/16/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Mcinerney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Mcinerney Jr.'s CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Mcinerney Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

TD AMERITRADE, INC.

TEXAS CAPITAL SECURITIES, INC.

TEXAS CAPITAL SECURITIES, INC.

AMERICORP SECURITIES, INC.

TEXAS CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2001

Series 63

Date: 8/18/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2001

Series 10

Date: 5/26/2007

Series 9

Date: 5/16/2007

FINRA

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

Similar Advisors