Solomon L. Schmidt

KEY INVESTMENT SERVICES LLC

Waunakee, WI

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CRD#: 4404279

Professional summary

Solomon Lee Schmidt, CFP® is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Waunakee, Wisconsin.

Solomon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Solomon has worked at 5 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

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.

TS3 REAL ESTATE LLC - POSITION: Partner; NATURE: Second home/rental property in FL; INVESTMENT RELATED: No; NUMBER OF HOURS: 0; SECURITIES TRADING HOURS: 0; START DATE: 01/01/2024; ADDRESS: 1114 Tara Ln, Waunakee WI 53597, United States; DESCRIPTION: Passive investment from a rental property in FL. We expect a small profit in 2024 and may expand to properties in other states.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Solomon Lee Schmidt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Solomon Lee Schmidt's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

March 21, 2022 - Present

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

Waunakee, WI

Current

March 21, 2022 - Present

KEY INVESTMENT SERVICES LLC

Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144

RIA

CRD#: 136300

Brooklyn, OH

Past

May 21, 2003 - March 21, 2022

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

FREEPORT, IL

Past

December 1, 2001 - March 21, 2022

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

FREEPORT, IL

Past

October 22, 2001 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

July 23, 2001 - September 14, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 23, 2001 - September 14, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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.

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

Alabama
(8/8/2024)

Alaska
(3/21/2022)

Arizona
(8/8/2024)

Arkansas
(8/8/2024)

California
(8/8/2024)

Colorado
(3/21/2022)

Connecticut
(3/21/2022)

Delaware
(8/8/2024)

District of Columbia
(8/8/2024)

Florida
(3/21/2022)

Georgia
(8/8/2024)

Hawaii
(8/8/2024)

Idaho
(3/21/2022)

Illinois
(8/8/2024)

Indiana
(3/21/2022)

Iowa
(8/8/2024)

Kansas
(8/8/2024)

Kentucky
(8/8/2024)

Louisiana
(8/8/2024)

Maine
(3/21/2022)

Maryland
(8/8/2024)

Massachusetts
(3/21/2022)

Michigan
(3/21/2022)

Minnesota
(8/8/2024)

Mississippi
(8/8/2024)

Missouri
(8/8/2024)

Montana
(8/8/2024)

Nebraska
(8/8/2024)

Nevada
(8/8/2024)

New Hampshire
(8/8/2024)

New Jersey
(8/8/2024)

New Mexico
(8/8/2024)

New York
(3/21/2022)

North Carolina
(8/8/2024)

North Dakota
(8/8/2024)

Ohio
(3/21/2022)

IAR

Ohio
(3/21/2022)

Oklahoma
(8/8/2024)

Oregon
(3/21/2022)

Pennsylvania
(3/21/2022)

Rhode Island
(8/8/2024)

South Carolina
(8/8/2024)

South Dakota
(8/8/2024)

Tennessee
(8/8/2024)

Texas
(8/8/2024)

Utah
(3/21/2022)

Vermont
(3/21/2022)

Virginia
(8/8/2024)

Washington
(3/21/2022)

West Virginia
(8/8/2024)

Wisconsin
(3/21/2022)

Wyoming
(8/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/27/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

CRD#: 136300 / SEC#: 801-65060, 8-66999

RIA

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

KIS FORM ADV PART 2A APPENDIX 1 (4/21/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Solomon L. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Solomon Lee Schmidt's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Solomon Lee Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2001

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2001

Series 53

Date: 10/27/2008

Series 24

Date: 12/23/2006

FINRA

Current Firm

KEY INVESTMENT SERVICES LLC

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

KEY INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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