Mary A. Siver-walters

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CRD#: 2510782

Professional summary

Mary Alice Siver-walters was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mary is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Mary had worked at 6 firms, which includes KEY INVESTMENT SERVICES LLC, KEYBANC CAPITAL MARKETS INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, LEGEND EQUITIES CORPORATION, TRUSTED SECURITIES ADVISORS CORP..

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Alice Siver

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

February 5, 2009 - April 24, 2009

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BROOKLYN, OH

Past

December 16, 2003 - February 16, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

November 18, 1998 - January 22, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 18, 1998 - January 22, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 6, 1997 - August 13, 1997

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

August 9, 1994 - September 28, 1995

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

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

Series 63

Date: 8/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/12/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/1994

Investment Company Products/Variable Contracts 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

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Mary A. Siver-walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

LEGEND EQUITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1994

Series 7

Date: 11/12/1998

Series 6

Date: 7/6/1994

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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