MW
Mwaka M. Williams
KEY INVESTMENT SERVICES LLC
Kenmore, NY 14217
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CRD#: 5728849
MW
Professional summary
Mwaka Mukwavi Williams, who also goes by Mwaka Chileshe Mukwavi, Mwaka Chileshe Williams, Mwaka Mukwavi Williams, Mwaka Chileshe Williams Mrs., Mwaka Mukwavi Williams Mrs., is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Kenmore, New York.
Mwaka is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Mwaka has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mwaka Chileshe Mukwavi | Mwaka Chileshe Williams | Mwaka Mukwavi Williams | Mwaka Chileshe Williams Mrs. | Mwaka Mukwavi Williams Mrs.
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.
MUKEVA PROPERTIES LLC-POSITION: partner NATURE: LLC for 2 rental properties INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/06/2022- ADDRESS: 71 Crisfield Ave, Buffalo NY NY 14206, United States. DESCRIPTION: This an LLC set up for 2 rental properties.
CRS (Client Relationship Summary) - RIA
Click below to view Mwaka Mukwavi Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mwaka Mukwavi Williams'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
February 3, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 2858 Delaware Avenue, Kenmore, NY 14217RIA
BD
CRD#: 136300
Kenmore, NY
Current
January 10, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 2858 Delaware Avenue, Kenmore, NY 14217RIA
BD
CRD#: 136300
Kenmore, NY
Past
May 13, 2021 - January 24, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
DEPEW, NY
Past
February 5, 2015 - January 24, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
DEPEW, NY
Past
June 27, 2012 - November 21, 2014
M&T SECURITIES, INC.
BD
CRD#: 17358
BUFFALO, NY
Past
December 19, 2011 - April 30, 2012
STEPHENS
BD
CRD#: 3496
COLUMBIA, SC
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
New York(2/3/2023)
IAR
New York(2/3/2023)
Exams
State Security Law Exam
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
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#: 136300Kenmore, NY 14217TRUST BUT VERIFY
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