Cecilio Miranda
KEY INVESTMENT SERVICES LLC | Private Client Banker
Amsterdam, NY 12010
CRD#: 4668886
Professional summary
Cecilio Miranda is a registered financial professional currently at KEY INVESTMENT SERVICES LLC located in Amsterdam, New York.
Cecilio is registered as a RR (Registered Representative) and started their career in finance in 2003. Cecilio has worked at 6 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 56 and Series 7 exams.
Question & Answer
What makes you the best choice for clients?
As the head of my family and Church member, I understand that Trust is the foundation of any relationship. For decades, I have gone above and beyond for clients and our group represents the best and brightest to meet any planning needs.
What are your service offerings?
Retirement Planning
Investment Strategies
Financial Planning
Estate Planning
Risk Management & Insurance
Do you have an area of expertise or specialization?
Advanced Tax Planning
401(k) Rollover and Roth IRA
Porfolio optimization
Which demographics do you typically serve?
Baby Boomers (60-78)
Gen X (44-59)
Gen Y (28-43)
The Silent Generation
Are you a "fiduciary"?
No
Personal quote
"Whoever dwells in the shelter of the Most High will rest in the shadow of the Almighty. I will say of the Lord, “He is my refuge and my fortress, my God, in whom I trust.”
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Cecilio Miranda'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®
NoneEducation
Fordham University in Manhattan
Bachelors in Economics and Business
Experience
Current
February 26, 2022 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4773 State Highway 30, Amsterdam, NY 12010RIA
BD
CRD#: 136300
Amsterdam, NY
Past
February 7, 2012 - September 19, 2012
T3 TRADING GROUP, LLC
BD
CRD#: 154431
NEW YORK, NY
Past
May 8, 2009 - September 14, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
March 25, 2009 - September 14, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
January 10, 2007 - August 19, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
NEW YORK, NY
Past
September 8, 2005 - September 13, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
June 20, 2003 - November 24, 2003
MAX INTERNATIONAL BROKER/DEALER CORP.
BD
CRD#: 46039
NEW YORK, NY
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.
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
New York(4/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/26/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 2/6/2012
Proprietary Trader Qualification ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KEY INVESTMENT SERVICES LLC
Private Client BankerCRD#: 136300Amsterdam, NY 12010TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
