Jae W. Koh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jae Wan Koh, who also goes by Jae W Koh, was a registered financial professional .
Jae is a previously registered financial professional and started their career in finance in 2003. Jae had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2014 - April 25, 2016
KEY INVESTMENT SERVICES LLC
May 5, 2014 - April 25, 2016
KEY INVESTMENT SERVICES LLC
January 2, 2013 - May 1, 2014
U.S. BANCORP INVESTMENTS, INC.
January 2, 2013 - May 1, 2014
U.S. BANCORP INVESTMENTS, INC.
September 7, 2011 - January 5, 2013
CETERA INVESTMENT SERVICES LLC
September 7, 2011 - January 5, 2013
CETERA INVESTMENT SERVICES LLC
May 12, 2010 - August 31, 2011
KEY INVESTMENT SERVICES LLC
May 12, 2010 - August 31, 2011
KEY INVESTMENT SERVICES LLC
December 6, 2004 - April 14, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 6, 2004 - April 14, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 2, 2004 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
January 1, 2004 - June 4, 2004
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - June 4, 2004
PNC WEALTH MANAGEMENT LLC
August 11, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
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.
