CW
Christopher M. Woods
KEY INVESTMENT SERVICES LLC
Niagara Falls, NY 14304
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CRD#: 5190836
CW
Professional summary
Christopher Marshall Woods is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Niagara Falls, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NIAGARA PIONEER SOCCER LEAGUE POSITION: President/ Coach NATURE: volunteer travel soccer club INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1972 ADDRESS: P.O. Box 203, youngstown NY 14174, United States DESCRIPTION: I volunteer coach my son and daughters travel soccer teams I am president of the league LEWISTON PORTER POSITION: volunteer assistant coach NATURE: School District INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1961 ADDRESS: 4061 creek rd, youngstown NY 14174, United States DESCRIPTION: Volunteer Assistant Coach
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Marshall Woods's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Marshall Woods'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
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 2429 Military Road, Niagara Falls, NY 14304RIA
BD
CRD#: 136300
Niagara Falls, NY
Current
July 11, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 2429 Military Road, Niagara Falls, NY 14304RIA
BD
CRD#: 136300
Niagara Falls, NY
Past
April 13, 2016 - April 25, 2016
M&T SECURITIES, INC.
BD
CRD#: 17358
NIAGARA FALLS, NY
Past
July 11, 2012 - February 26, 2016
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
NIAGARA FALLS, NY
Past
September 30, 2010 - July 11, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
WILLIAMSVILLE, NY
Past
September 27, 2010 - July 11, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
WILLIAMSVILLE, NY
Past
August 20, 2007 - March 8, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MESA, AZ
Past
August 15, 2007 - March 8, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MESA, AZ
Past
October 10, 2006 - July 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PHOENIX, AZ
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(10/1/2021)
RR
Florida(7/27/2020)
RR
New York(7/13/2016)
IAR
New York(3/26/2021)
Exams
State Security Law 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
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Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Niagara Falls, NY 14304TRUST BUT VERIFY
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