MR
Megan D. Richter
KEY INVESTMENT SERVICES LLC
LAPORTE, IN
Some features on this profile are disabled
CRD#: 4874636
MR
Professional summary
Megan Dean Richter, CFP®, who also goes by Megan Cathleen Dean, Megan Cathleen Richter, Megan D Richter, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Laporte, Indiana.
Megan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Megan has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Megan Cathleen Dean | Megan Cathleen Richter | Megan D Richter
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) Richter Rentals, LLC; investment-related; LaPorte, IN; Rental Properties; Vice President; 5/2014; 1-2 hours/month; 0 hours/trading; co-owner/landlord of rental properties. 2) United Way of Northwest Indiana; not investment-related; Valparaiso, IN; non-profit; Board Member; 3/1/2017; <5 hours/month; 0 hours/trading; Board member, attend board meetings and volunteer events. 3) Sunshine Daydream Travel, LLC; Not Investment-related; LaPorte, IN; Travel Services & Planning; President, Owner; 01/2020; Less than 10 hours/monthly; 0 hours/trading; Research, organize, coordinate travel plans and clerical work of business. 4.) PURDUE UNIVERSITY NORTHWEST-POSITION: Limited-term Lecturer NATURE: Secondary Education - Public University INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2025, ADDRESS: 2200 169th Street, Hammond IN 46323, United States- DESCRIPTION: Limited-term Lecturer - teaching 1 class per semester.
CRS (Client Relationship Summary) - RIA
Click below to view Megan Dean Richter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Megan Dean Richter'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®
Experience
Current
May 8, 2023 - Present
KEY INVESTMENT SERVICES LLC
RIA
BD
CRD#: 136300
LAPORTE, IN
Current
May 8, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4900 Tiedeman Road, Brooklyn, OH 44144RIA
BD
CRD#: 136300
Brooklyn, OH
Past
March 4, 2019 - April 27, 2023
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CHICAGO, IL
Past
March 4, 2019 - April 27, 2023
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CHICAGO, IL
Past
October 1, 2012 - March 14, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHESTERTON, IN
Past
October 1, 2012 - March 14, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHESTERTON, IN
Past
October 8, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CEDAR LAKE, IN
Past
March 20, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CEDAR LAKE, IN
Past
February 25, 2005 - March 5, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MICHIGAN CITY, IN
Past
February 23, 2005 - February 28, 2005
VISION INVESTMENT SERVICES, INC.
BD
CRD#: 46609
ROSEMONT, IL
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
Alaska(5/8/2023)
RR
Colorado(5/8/2023)
RR
Idaho(5/8/2023)
RR
Indiana(5/8/2023)
IAR
Indiana(5/8/2023)
RR
Michigan(5/8/2023)
RR
Ohio(5/15/2023)
RR
Oregon(5/8/2023)
RR
Utah(5/8/2023)
RR
Washington(5/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
