CN
Chinh T. Nguyen
KEY INVESTMENT SERVICES LLC
Brooklyn, OH 44144
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CRD#: 4671665
CN
Professional summary
Chinh Td Nguyen, who also goes by Emi Nguyen, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Brooklyn, Ohio.
Chinh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Chinh has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emi Nguyen
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.
(1)Name of Business: Columbia Wealth Advisors Address: 24120 Van Ry Boulevard 1st Floor, Mount Lake Terrace, WA, 98043, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 03/01/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Private Banking Relationship Manager for Columbia Private Banking. Refer client to Columbia Wealth Advisors (2)Name of Business: Umpqua Bank Address: 24120 Van Ry Boulevard 1st Floor, Mountlake Terrace , WA, 98155, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 08/04/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Private Bank Relationship Manager
CRS (Client Relationship Summary) - RIA
Click below to view Chinh Td Nguyen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chinh Td Nguyen'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
May 1, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Current
May 1, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Past
March 7, 2024 - April 9, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Mount Lake Terrace, WA
Past
March 7, 2024 - April 9, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Mount Lake Terrace, WA
Past
March 1, 2023 - October 18, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SEATTLE, WA
Past
March 1, 2023 - October 18, 2023
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SEATTLE, WA
Past
April 26, 2016 - March 6, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
RIA
CRD#: 1254
SEATTLE, WA
Past
January 20, 2016 - March 6, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
SEATTLE, WA
Past
October 26, 2011 - July 28, 2015
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BELLEVUE, WA
Past
November 17, 2010 - October 4, 2011
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SEATTLE, WA
Past
June 18, 2003 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
KIRKLAND, WA
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
Washington(5/1/2025)
IAR
Washington(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
