Anne M. Swetonic
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.
Anne Marjorie Swetonic, who also goes by Anne Marjorie Morgan, Anne Morgan, Anne Marjorie Mswetonic, Anne Swetonic, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1995. Anne had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 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
October 5, 2017 - February 28, 2022
KEY INVESTMENT SERVICES LLC
October 2, 2017 - February 28, 2022
KEY INVESTMENT SERVICES LLC
July 15, 2011 - November 9, 2015
U.S. BANCORP INVESTMENTS, INC.
July 15, 2011 - November 9, 2015
U.S. BANCORP INVESTMENTS, INC.
October 23, 2009 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 6, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 27, 2000 - April 22, 2004
BANC OF AMERICA SECURITIES LLC
October 1, 1998 - July 13, 1999
BANC OF AMERICA SECURITIES LLC
December 1, 1997 - October 1, 1998
BANCAMERICA SECURITIES, INC.
March 21, 1995 - December 2, 1997
SEAFIRST INVESTMENT 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.
