DW
Dorothy H. Whitman
KEY INVESTMENT SERVICES LLC
Bellingham, WA 98229
Some features on this profile are disabled
CRD#: 4642814
DW
Professional summary
Dorothy Helen Whitman, who also goes by Dorothy Whitman Slawinski, Dorothy Helen Soutas, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Bellingham, Washington.
Dorothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Dorothy has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dorothy Whitman Slawinski | Dorothy Helen Soutas
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.
ROTARY -SUNRISE ROTARY BELLINGHAM WA; POSITION: International Chair - Help organize our international activities; NATURE: Raise money to give to local charities and nonprofits. Community interface and service; INVESTMENT RELATED: No; NUMBER OF HOURS: 12; SECURITIES TRADING HOURS: 5; START DATE: 01/05/2021; ADDRESS: P.O. Box 1021, Bellingham WA 98227, United States; DESCRIPTION: I am currently the international Chair. I help to interface with communication and travel for our international events. I do not handle money or make disbursements.
CRS (Client Relationship Summary) - RIA
Click below to view Dorothy Helen Whitman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dorothy Helen Whitman'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
April 25, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1000 Lakeway Dr, Bellingham, WA 98229RIA
BD
CRD#: 136300
Bellingham, WA
Current
April 25, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1000 Lakeway Dr, Bellingham, WA 98229RIA
BD
CRD#: 136300
Bellingham, WA
Past
September 19, 2022 - May 7, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BELLINGHAM, WA
Past
September 19, 2022 - May 7, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BELLINGHAM, WA
Past
February 10, 2021 - September 12, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Bellingham, WA
Past
February 10, 2021 - September 12, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Bellingham, WA
Past
October 29, 2019 - January 27, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BELLINGHAM, WA
Past
October 2, 2019 - January 27, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BELLINGHAM, WA
Past
August 1, 2003 - October 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN JOSE, CA
Past
May 12, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 12, 2003 - October 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN JOSE, CA
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
California(6/18/2024)
RR
Washington(4/25/2024)
IAR
Washington(4/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2019
General Securities Representative ExaminationGeneral 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.
