KS
Kevin P. Smith
KEY INVESTMENT SERVICES LLC
Hamilton, OH 45013
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CRD#: 4314745
KS
Professional summary
Kevin Patrick Smith is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Hamilton, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.)CLEAR CHANNEL COMMUNICATIONS- NOT INVESTMENT RELATED. START DATE 4/2003 - SEASONAL. APPROXIMATELY 12-15 HOURS/MONTH. POSITION: REPORTER. DUTIES: INTERVIEW PLAYERS AFTER CINCINNATI REDS BASEBALL HOME GAMES, EDIT THE INTERVIEWS AND SUBMIT TO ON-AIR REPORTERS FOR THEIR USE IN THE DAILY SPORTS REPORTS.
2.)JUNIOR ACHIEVEMENT - NOT INVESTMENT RELATED START DATE: JULY 2009 APPROX 4-6 HRS/MTH POSITION: BOARD MEMBER DUTIES: CLASSROOM VOLUNTEER, FUNDRAISING EVENTS VOLUNTEER, MONTHLY BOARD MEETINGS.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Patrick Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick Smith's 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®
NoneExperience
Current
August 23, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1492 Main Street, Hamilton, OH 45013RIA
BD
CRD#: 136300
Hamilton, OH
Current
August 23, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1492 Main Street, Hamilton, OH 45013RIA
BD
CRD#: 136300
Hamilton, OH
Past
October 16, 2012 - August 18, 2016
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
CINCINNATI, OH
Past
October 16, 2012 - August 18, 2016
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
CINCINNATI, OH
Past
June 25, 2012 - September 4, 2012
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
CINCINNATI, OH
Past
June 25, 2012 - September 4, 2012
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
CINCINNATI, OH
Past
January 18, 2006 - June 15, 2012
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
HAMILTON, OH
Past
May 26, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CINCINNATI, OH
Past
October 13, 2004 - March 28, 2005
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
December 21, 2000 - October 13, 2004
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
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".
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(8/7/2020)
RR
Colorado(1/28/2022)
RR
Florida(8/23/2016)
RR
Georgia(10/22/2019)
RR
Indiana(8/23/2016)
RR
Kentucky(8/23/2016)
RR
Maryland(1/19/2022)
RR
Massachusetts(1/19/2022)
RR
Michigan(9/29/2017)
RR
North Carolina(1/19/2022)
RR
Ohio(8/23/2016)
IAR
Ohio(8/23/2016)
RR
South Carolina(9/21/2022)
RR
Virginia(1/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
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)
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.
Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Hamilton, OH 45013TRUST BUT VERIFY
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