Brendan T. Norman
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.
Brendan Todd Norman was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2000. Brendan had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2014 - April 19, 2017
KEY INVESTMENT SERVICES LLC
May 16, 2012 - November 22, 2013
FIFTH THIRD SECURITIES, INC.
May 16, 2012 - November 22, 2013
FIFTH THIRD SECURITIES, INC.
May 24, 2011 - March 15, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 19, 2011 - March 15, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 6, 2009 - February 28, 2011
NATIONWIDE INVESTMENT ADVISORS, LLC
March 23, 2009 - February 28, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 29, 2008 - March 18, 2009
FULCRUM ADVISORY SERVICES, LLC
February 29, 2008 - March 18, 2009
FULCRUM SECURITIES, LLC
December 17, 2002 - October 24, 2007
NATCITY INVESTMENTS, INC.
December 17, 2002 - October 24, 2007
NATCITY INVESTMENTS, INC.
September 4, 2001 - November 18, 2002
RAYMOND JAMES & ASSOCIATES, INC.
December 12, 2000 - November 18, 2002
RAYMOND JAMES & ASSOCIATES, 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.
