DK
Debora A. Kern
KEY INVESTMENT SERVICES LLC
Noblesville, IN 46060
Some features on this profile are disabled
CRD#: 4340819
DK
Professional summary
Debora Ann Kern, who also goes by Debora Ann Beaudin, Debora Ann Frazer, Debora Ann Judge, Debora Ann Kern, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Noblesville, Indiana.
Debora is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Debora has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debora Ann Beaudin | Debora Ann Frazer | Debora Ann Judge | Debora Ann Kern
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.
CIBA FOUNDATION INC, NON-INVESTMENT RELATED, TREASURER-I WRITE CHECKS TO FUND GRANTS FOR BICYCLING PROJECTS/PROVIDE FINANCIAL REPORTS,1HR A MONTH DURING NON-TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Debora Ann Kern's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debora Ann Kern'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
October 13, 2014 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 480 Sheridan Rd., Noblesville, IN 46060RIA
BD
CRD#: 136300
Noblesville, IN
Current
March 25, 2009 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 480 Sheridan Rd., Noblesville, IN 46060RIA
BD
CRD#: 136300
Noblesville, IN
Past
December 7, 2011 - October 10, 2014
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
NOBLESVILLE, IN
Past
March 25, 2009 - March 24, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
NOBLESVILLE, IN
Past
November 13, 2007 - March 6, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
NOBLESVILLE, IN
Past
October 2, 2007 - March 6, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
NOBLESVILLE, IN
Past
January 18, 2006 - October 2, 2007
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
CICERO, IN
Past
February 2, 2001 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CICERO, IN
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
Alabama(1/11/2021)
RR
Arizona(1/8/2013)
RR
Arkansas(1/11/2021)
RR
California(3/25/2009)
RR
Colorado(1/11/2021)
RR
Florida(1/12/2010)
RR
Illinois(4/6/2018)
RR
Indiana(3/25/2009)
IAR
Indiana(10/14/2014)
RR
Iowa(2/19/2021)
RR
Kentucky(9/5/2017)
RR
Maryland(9/18/2017)
RR
Michigan(9/7/2017)
RR
Missouri(10/12/2021)
RR
Montana(1/11/2021)
RR
New Hampshire(1/6/2020)
RR
New York(1/11/2021)
RR
North Carolina(1/11/2021)
RR
Ohio(3/25/2009)
RR
Oklahoma(3/5/2024)
RR
Oregon(1/31/2017)
RR
Pennsylvania(12/4/2013)
RR
South Carolina(1/11/2021)
RR
Tennessee(6/26/2019)
RR
Texas(1/6/2020)
RR
Utah(1/6/2020)
RR
Virginia(1/11/2021)
RR
Washington(1/11/2021)
RR
West Virginia(1/6/2020)
RR
Wisconsin(1/6/2020)
Exams
State Security Law Exam
State Security Law 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.
