SC
Susan A. Chipps
KEY INVESTMENT SERVICES LLC
Fort Wayne, IN
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CRD#: 4397519
SC
Professional summary
Susan Ann Chipps, who also goes by Susan Ann Chipps, Susan Chipps, Susan Ann Reiber, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Fort Wayne, Indiana.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Susan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Ann Chipps | Susan Chipps | Susan Ann Reiber
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.
FORT WAYNE CIVIC THEATRE- POSITION: null NATURE: They do plays in the community. INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2024. ADDRESS: 1940 Bluffton Road, Fort Wayne IN 46809, United States. DESCRIPTION: I am on the board for the non profit - I also help with executive committee for the board which includes review salaries and other financial information. We have 2 outside investment accounts for the endowment that are reviewed quarterly as well.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Ann Chipps's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Ann Chipps'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
July 22, 2024 - Present
KEY INVESTMENT SERVICES LLC
RIA
BD
CRD#: 136300
Fort Wayne, IN
Current
July 22, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Past
March 1, 2024 - July 26, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT WAYNE, IN
Past
February 29, 2024 - July 26, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT WAYNE, IN
Past
April 5, 2023 - September 20, 2023
CX INSTITUTIONAL, LLC
RIA
CRD#: 292627
AUBURN, IN
Past
October 1, 2012 - February 28, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Fort Wayne, IN
Past
October 1, 2012 - February 28, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Carmel, IN
Past
December 7, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FORT WAYNE, IN
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FORT WAYNE, IN
Past
August 26, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 7, 2003 - August 24, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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
Indiana(7/22/2024)
IAR
Indiana(7/22/2024)
RR
Michigan(7/22/2024)
RR
Ohio(7/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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.
