Diane J. Gilger

KEY INVESTMENT SERVICES LLC

Brooklyn, OH 44144

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CRD#: 4516204

Professional summary

Diane Johns Gilger, who also goes by Diane J Gilger, Diane Marie Johns, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Brooklyn, Ohio.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Diane has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane J Gilger | Diane Marie Johns

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Johns Gilger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Diane Johns Gilger'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®

None

Experience

Current

March 11, 2024 - Present

KEY INVESTMENT SERVICES LLC

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

RIA

CRD#: 136300

Brooklyn, OH

Current

January 19, 2024 - Present

KEY INVESTMENT SERVICES LLC

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

RIA

CRD#: 136300

Brooklyn, OH

Past

September 18, 2013 - December 4, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

AKRON, OH

Past

September 18, 2013 - December 4, 2016

LPL FINANCIAL LLC

CRD#: 6413

AKRON, OH

Past

July 8, 2013 - September 18, 2013

FIRSTMERIT ADVISORS, INC.

RIA

CRD#: 125249

AKRON, OH

Past

July 5, 2013 - September 18, 2013

FIRSTMERIT FINANCIAL SERVICES, INC

CRD#: 149680

AKRON, OH

Past

November 4, 2010 - August 1, 2011

FIRSTMERIT FINANCIAL SERVICES, INC

CRD#: 149680

AKRON, OH

Past

February 16, 2009 - December 31, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

AKRON, OH

Past

January 29, 2009 - December 31, 2009

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

AKRON, OH

Past

September 4, 2003 - February 15, 2007

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

AKRON, OH

Past

April 24, 2002 - February 15, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

AKRON, 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".

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

Ohio
(3/11/2024)

IAR

Ohio
(3/11/2024)

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: 3/8/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/19/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/25/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2002

General Securities Representative 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

Diane J. Gilger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Johns Gilger's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Diane Johns Gilger's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRSTMERIT ADVISORS, INC.

FIRSTMERIT FINANCIAL SERVICES, INC

FIRSTMERIT FINANCIAL SERVICES, INC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

KEY INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2024

Series 7TO

Date: 1/19/2024

SIE

Date: 10/25/2023

Series 7

Date: 4/23/2002

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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