Terry C. Dargon

KEY INVESTMENT SERVICES LLC

Brooklyn, OH 44144

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CRD#: 3014392

Professional summary

Terry Charles Dargon, who also goes by Terry C Dargon, Terry Dargon, is a registered financial professional currently at KEY INVESTMENT SERVICES LLC located in Brooklyn, Ohio.

Terry is registered as a RR (Registered Representative) and started their career in finance in 1998. Terry has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Terry C Dargon | Terry Dargon

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) - BD

Click below to view Terry Charles Dargon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 19, 2025 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144Office #2: 314 East Third Ave, Moses Lake, WA 98837

RIA

CRD#: 136300

Brooklyn, OH

Past

May 23, 2014 - November 16, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

EPHRATA, WA

Past

December 11, 2013 - May 9, 2014

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

TACOMA, WA

Past

January 28, 2002 - February 4, 2003

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

TACOMA, WA

Past

November 30, 2000 - February 4, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

June 21, 2000 - November 14, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 12, 1999 - January 10, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 1, 1998 - July 12, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

March 12, 1998 - July 1, 1998

SEAFIRST INVESTMENT SERVICES, INC.

CRD#: 17411

SEATTLE, WA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Washington
(12/19/2025)

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: 1/16/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/23/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/10/2013

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 6/20/2000

General Securities Representative Examination

SRO Registrations

FINRA

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

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.

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Advisor Monitoring

Firm Stability Insights

Terry C. Dargon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terry Charles Dargon's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

COUNTRY CAPITAL MANAGEMENT COMPANY

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

SEAFIRST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2014

Series 66

Date: 4/23/1998

SIE

Date: 10/1/2018

Series 6

Date: 12/10/2013

Series 7

Date: 6/20/2000

FINRA

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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