Peter A. Lingua
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.
Peter Anthony Lingua, who also goes by Peter A (jr) Lingua, Peter Anthony Lingua Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2017 - March 9, 2018
KEY INVESTMENT SERVICES LLC
March 29, 2017 - March 9, 2018
KEY INVESTMENT SERVICES LLC
August 28, 2015 - January 7, 2016
PARK AVENUE SECURITIES LLC
August 14, 2015 - January 7, 2016
PARK AVENUE SECURITIES LLC
February 20, 2013 - August 23, 2013
SANTANDER SECURITIES LLC
February 18, 2013 - August 23, 2013
SANTANDER SECURITIES LLC
October 18, 2010 - April 19, 2011
WADDELL & REED
October 18, 2010 - April 19, 2011
WADDELL & REED
April 29, 2008 - February 24, 2009
TD AMERITRADE, INC.
April 29, 2008 - February 24, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 18, 2008 - February 24, 2009
TD AMERITRADE, INC.
March 7, 2006 - March 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 20, 2001 - May 24, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1999 - February 12, 2001
PRUDENTIAL EQUITY GROUP, LLC
December 6, 1994 - June 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
