Carl J. Drotleff
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.
Carl John Drotleff was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 2005. Carl had worked at 8 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2024 - October 14, 2025
KEY INVESTMENT SERVICES LLC
July 18, 2022 - June 1, 2024
J.P. MORGAN SECURITIES LLC
February 19, 2021 - June 9, 2021
BMO ASSET MANAGEMENT CORP.
September 19, 2016 - December 31, 2020
BMO ASSET MANAGEMENT CORP.
September 19, 2016 - June 29, 2017
BMO INVESTMENT DISTRIBUTORS, LLC
May 20, 2015 - August 23, 2016
U.S. BANCORP INVESTMENTS, INC.
May 20, 2015 - August 23, 2016
U.S. BANCORP INVESTMENTS, INC.
August 22, 2014 - May 18, 2015
PNC WEALTH MANAGEMENT LLC
August 22, 2014 - May 18, 2015
PNC WEALTH MANAGEMENT LLC
June 17, 2014 - July 14, 2014
J.P. MORGAN SECURITIES LLC
June 12, 2014 - July 14, 2014
J.P. MORGAN SECURITIES LLC
December 8, 2008 - January 21, 2014
KEY INVESTMENT SERVICES LLC
December 8, 2008 - January 21, 2014
KEY INVESTMENT SERVICES LLC
December 20, 2007 - December 9, 2008
NATCITY INVESTMENTS, INC.
December 20, 2007 - December 9, 2008
NATCITY INVESTMENTS, INC.
January 3, 2006 - December 19, 2007
KEY INVESTMENT SERVICES LLC
January 3, 2006 - December 19, 2007
KEY INVESTMENT SERVICES LLC
September 20, 2005 - December 6, 2005
MORGAN STANLEY DW INC.
September 2, 2005 - December 6, 2005
MORGAN STANLEY DW INC.
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
Series 6TO
Date: 7/18/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
