BP
Barbara J. Pal
KEY INVESTMENT SERVICES LLC
Brooklyn, OH 44144
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CRD#: 4315279
BP
Professional summary
Barbara Jean Pal, who also goes by Barbara Jean Borsodi, Barbara Jean Kucera, Barbara J Pal, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Brooklyn, Ohio.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Barbara has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Barbara Jean Borsodi | Barbara Jean Kucera | Barbara J Pal
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.
BURTON CAROL MANAGEMENT, LLC POSITION: Leasing agent NATURE: apartment leasing INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 0 START DATE: 02/04/2004 ADDRESS: 4832 Richmond Rd #200, Cleveland OH 44128, United States DESCRIPTION: have worked over 20 yrs for this company but now am just a floater - might work total of 14 hours a month if that (like 2 Saturdays) - am called in if someone calls off -assist with apartment leasing
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Jean Pal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Jean Pal'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
January 17, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Current
January 17, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Past
September 7, 2023 - January 16, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
September 7, 2023 - January 16, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
January 6, 2021 - September 20, 2023
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
December 9, 2020 - September 20, 2023
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
August 14, 2007 - December 2, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CLEVELAND, OH
Past
May 8, 2007 - June 22, 2007
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
STRONGSVILLE, OH
Past
March 28, 2006 - April 18, 2007
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CLEVELAND, OH
Past
March 23, 2005 - June 3, 2005
FIRSTMERIT SECURITIES, INC.
BD
CRD#: 35057
AKRON, OH
Past
August 12, 2002 - April 24, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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
Colorado(1/17/2024)
RR
Connecticut(1/17/2024)
RR
Florida(1/17/2024)
RR
Idaho(1/17/2024)
RR
Indiana(1/17/2024)
RR
Maine(1/17/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(1/17/2024)
RR
New York(1/17/2024)
RR
Ohio(1/17/2024)
IAR
Ohio(1/17/2024)
RR
Oregon(1/17/2024)
RR
Pennsylvania(1/17/2024)
RR
Utah(1/17/2024)
RR
Vermont(1/17/2024)
RR
Washington(1/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
