John Gaspa
KEY INVESTMENT SERVICES LLC | Financial Advisor
Whitestown, NY 13492
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CRD#: 6264852
Professional summary
John Gaspa IV, who also goes by John A Gaspa, John Anthony Gaspa IV, John Anthony Gaspa, John Gaspa, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Whitestown, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John A Gaspa | John Anthony Gaspa Iv | John Anthony Gaspa | John Gaspa
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Gaspa IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Gaspa IV'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
June 27, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 131 Oriskany Blvd , Whitestown, NY 13492RIA
BD
CRD#: 136300
Whitestown, NY
Current
June 27, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 131 Oriskany Blvd , Whitestown, NY 13492RIA
BD
CRD#: 136300
Whitestown, NY
Past
September 23, 2019 - June 26, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
UTICA, NY
Past
September 23, 2019 - June 26, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
UTICA, NY
Past
February 12, 2018 - September 27, 2019
EDWARD JONES
RIA
CRD#: 250
YORKVILLE, NY
Past
November 20, 2017 - September 27, 2019
EDWARD JONES
BD
CRD#: 250
YORKVILLE, NY
Past
January 19, 2017 - November 9, 2017
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
June 21, 2014 - August 29, 2016
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, 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
California(7/6/2023)
RR
Colorado(7/6/2023)
RR
Florida(7/6/2023)
RR
Massachusetts(7/6/2023)
RR
New Hampshire(7/6/2023)
RR
New York(6/27/2023)
IAR
New York(6/27/2023)
RR
North Carolina(7/6/2023)
RR
Ohio(7/6/2023)
RR
Pennsylvania(6/9/2025)
RR
South Carolina(10/29/2024)
RR
Texas(7/6/2023)
RR
Virginia(7/6/2023)
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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Company Information
KEY INVESTMENT SERVICES LLC
Financial AdvisorCRD#: 136300Whitestown, NY 13492TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
