TA
Thomas M. Abramson
KEY INVESTMENT SERVICES LLC
Amherst, NY 14051
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CRD#: 4690465
TA
Professional summary
Thomas Martin Abramson, who also goes by Thomas M Abramson, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Amherst, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M Abramson
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. 2/15/2017 - Specific Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/05/2017 - 4 Hours Per Month During Securities Trading. 2. 4/25/2018 - Five Star Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/2016 - 40 Hours Per Month/40 Hours During Trading. 3. 08/23/2019 - HNP Capital LLC - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:08/01/2019 - 20 hrs/mo - 20 hrs during trading. 4. 9/23/2019 - HNP Capital - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 08/01/2019 - 20 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through HNP Capital, an independent investment advisor firm. I started this business activity in 08/2019. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Martin Abramson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Martin Abramson'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 16, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 9640 Transit Rd., Amherst, NY 14051RIA
BD
CRD#: 136300
Amherst, NY
Current
May 16, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 9640 Transit Rd., Amherst, NY 14051RIA
BD
CRD#: 136300
Amherst, NY
Past
May 2, 2023 - May 23, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROCKPORT, NY
Past
August 9, 2021 - May 9, 2023
HNP CAPITAL LLC
RIA
CRD#: 150333
ROCHESTER, NY
Past
August 3, 2021 - July 27, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROCKPORT, NY
Past
August 27, 2018 - December 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROCKPORT, NY
Past
May 5, 2016 - January 7, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROCKPORT, NY
Past
May 5, 2016 - May 23, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BROCKPORT, NY
Past
February 5, 2015 - May 5, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
AMHERST, NY
Past
April 8, 2011 - May 5, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
AMHERST, NY
Past
June 29, 2005 - February 8, 2011
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NIAGARA FALLS, NY
Past
March 25, 2004 - June 10, 2005
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
September 10, 2003 - October 6, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
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.
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(5/16/2023)
RR
Colorado(5/16/2023)
RR
Florida(5/16/2023)
RR
Illinois(6/9/2023)
RR
Maryland(5/16/2023)
RR
New York(5/16/2023)
IAR
New York(5/16/2023)
RR
North Carolina(5/23/2023)
RR
Ohio(5/21/2023)
RR
Pennsylvania(5/16/2023)
RR
South Carolina(5/16/2023)
RR
Utah(6/9/2023)
RR
Virginia(6/9/2023)
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.
Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Amherst, NY 14051TRUST BUT VERIFY
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