Jonathan B. Prinz
Professional summary
Jonathan Barrett Prinz, who also goes by Jon Prinz, Jonny Prinz, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Seattle, Washington.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jonathan has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Barrett Prinz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Barrett Prinz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2019 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 17500 Aurora Avenue N, Seattle, WA 98133September 19, 2019 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 17500 Aurora Avenue N, Seattle, WA 98133September 6, 2018 - September 20, 2019
THE LEADERS GROUP, INC.
April 28, 2017 - August 17, 2018
CETERA INVESTMENT ADVISERS LLC
April 28, 2017 - August 17, 2018
CETERA INVESTMENT SERVICES LLC
July 6, 2012 - May 2, 2017
TLG ADVISORS, INC.
April 8, 2011 - December 31, 2011
TLG ADVISORS, INC.
March 16, 2011 - May 2, 2017
THE LEADERS GROUP, INC.
March 11, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 11, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 26, 2007 - February 14, 2008
U.S. BANCORP INVESTMENTS, INC.
January 10, 2007 - February 14, 2008
U.S. BANCORP INVESTMENTS, INC.
May 3, 2005 - January 3, 2007
EVERLAKE DISTRIBUTORS, LLC
August 8, 2001 - May 24, 2005
SIGNATOR FINANCIAL SERVICES, INC.
March 20, 1997 - November 18, 1999
WAMU INVESTMENTS, 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
(1/20/2021)
(11/30/2020)
(9/19/2019)
(9/19/2019)
(7/28/2020)
(1/8/2021)
(10/22/2021)
(3/11/2021)
(9/19/2019)
(8/5/2024)
(9/19/2019)
(1/24/2022)
(2/23/2022)
(8/6/2020)
(9/19/2023)
(1/3/2023)
(9/19/2019)
(9/19/2019)
(9/19/2019)
Exams
FINRA
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.
