Derek Stephenson
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.
Derek Stephenson, who also goes by Derek Clark Stephenson, was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 2000. Derek had worked at 11 firms and has passed the Series 65, Series 63, Series 7 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
March 23, 2011 - February 8, 2013
KEY INVESTMENT SERVICES LLC
July 28, 2009 - September 17, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 2008 - July 21, 2009
CETERA WEALTH SERVICES, LLC
November 5, 2007 - July 21, 2009
CETERA WEALTH SERVICES, LLC
February 6, 2006 - October 8, 2007
GENEOS WEALTH MANAGEMENT, INC.
February 2, 2006 - October 8, 2007
GENEOS WEALTH MANAGEMENT, INC.
May 2, 2005 - January 6, 2006
WAMU INVESTMENTS, INC.
January 27, 2003 - July 2, 2004
CUNA BROKERAGE SERVICES, INC.
January 24, 2003 - July 2, 2004
CUNA BROKERAGE SERVICES, INC.
June 25, 2001 - January 15, 2003
CETERA INVESTMENT SERVICES LLC
June 1, 2001 - January 15, 2003
CETERA INVESTMENT SERVICES LLC
November 30, 2000 - April 24, 2001
METROPOLITAN LIFE INSURANCE COMPANY
November 30, 2000 - April 24, 2001
MSI FINANCIAL SERVICES, INC.
January 17, 2000 - October 31, 2000
IDS LIFE INSURANCE COMPANY
January 17, 2000 - October 31, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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.
