Cesar C Amaral
Professional Summary
Cesar C Amaral was a registered financial advisor. Cesar was a previously registered financial professional and started their career in finance 2012 - 2014. Cesar had worked at 1 firm and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
KEY DOCTOR BANKING AND ADVISORY GROUP | KEY WEALTH | KEY PRIVATE CLIENT | KEY INVESTMENT SERVICES LLC
Contact Information
Main Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144Mailing Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144Phone Number
(888) 547-2968Established
Ohio since 06/08/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,325SEC notice filing (44 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
Documents
Part 2 Brochures
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 |
| FONTANAROSA, ANDREW | CHIEF LEGAL OFFICER | 6704159 |
| 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 |
Regulatory Assets Under Management
Total Number of Accounts
34,920AUM (Assets Under Management)
$8,876,856,848Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
KEY DOCTOR BANKING AND ADVISORY GROUP | KEY WEALTH | KEY PRIVATE CLIENT | KEY INVESTMENT SERVICES LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2012About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
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