EG
Evan G. Galbraith
KEY INVESTMENT SERVICES LLC
Nyack, NY 10960
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CRD#: 6220293
EG
Professional summary
Evan Griffith Galbraith is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Nyack, New York.
Evan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Evan has worked at 3 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.
EAST 60S PROVIDER CORP; NATURE: This was a personal service corporation set up to provide care for my mother while she was alive in her last chapter of life, and as part of our family estate planning. The corporation was not funded, because there was a liquidity issue with selling her apartment. There were never any securities or any other investments. Only after my mother passed away on 4/15/2020 and we sold her apartment, a bank checking (Bank of America) account was opened. I am one of three owners and officers along with my siblings John Galbraith and Christina Galbraith. We plan to close the corporation once the Estate of Marie R Galbraith is settled, which we expect to be soon. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/19/2019; ADDRESS: 200 East 65th St, Apt 19, New York NY 10065, United States; DESCRIPTION: To take care of our mother and pay her bills.
CRS (Client Relationship Summary) - RIA
Click below to view Evan Griffith Galbraith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Evan Griffith Galbraith'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: 17 S. Broadway 2nd Floor, Nyack, NY, 10960RIA
BD
CRD#: 136300
Nyack, NY
Current
September 10, 2018 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 17 S. Broadway 2nd Floor, Nyack, NY, 10960RIA
BD
CRD#: 136300
Nyack, NY
Past
December 15, 2015 - September 21, 2018
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
June 24, 2014 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
Highland Falls, NY
Past
June 4, 2014 - September 21, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
Highland Falls, NY
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
Connecticut(11/16/2018)
RR
Delaware(1/3/2020)
RR
Florida(5/22/2019)
RR
Illinois(2/6/2020)
RR
Maine(10/28/2025)
RR
Maryland(10/22/2025)
RR
Nevada(10/25/2024)
RR
New Hampshire(7/7/2020)
RR
New Jersey(11/16/2018)
RR
New York(9/27/2018)
IAR
New York(3/26/2021)
RR
North Carolina(1/6/2020)
RR
Ohio(3/19/2024)
RR
Pennsylvania(3/19/2024)
RR
Rhode Island(1/2/2024)
RR
South Carolina(1/2/2024)
RR
Texas(1/2/2020)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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