CE
Charles W. Ellis
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CRD#: 6469187
CE
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles W Ellis was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2015. Charles had worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) I RENT OUT A COUPLE OF ROOMS OF MY HOUSE, THE ADDRESS IS 11 CURVE ST, WILTON, ME 04294, NOT INVESTMENT RELATED, START DATE JUNE 2013, 1-2 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; 2) I ALSO OCCASIONALLY SPEAK AT CHURCHES, CURRENTLY THE ONLY CHURCH IS SUGARLOAF AREA CHRISTIAN MINISTRY, 5085 ACCESS RD, CARRABASSETT VALLEY, ME 04947, NOT INVESTMENT RELATED, START DATE 2007, LESS THAN 2 HOURS PER MONTH, 0 HOUR DURING SECURITIES TRADING HOURS; 3) Monumental Connections, not investment-related, 77 Free Street, Portland, ME 04101, business networking, member, start date 5/2017, 1 hour a month, 1 hour during securities trading hours; 4) BNI Business Partners, not investment-related, 771 Cumberland Street, Westbrook, ME 04092, business networking, member, start date 3/2018, 6 hours per month, 5 hours during securities trading hours; 5) Think Local, not investment-related, PO Box 6628, Scarborough, ME 04074, business referral networking, education coordinator/member, start date January 2017, 2-3 hours per month, 2-3 hours during securities trading hours; 6) Ellis Apartments LLC, not investment-related, 179 Ocean House Road, Apt 3, Cape Elizabeth, ME 04107, own 2 properties that are rented out, owner, start date 1/2014, 2-4 hours per month, 1-2 hours during securities trading hours; 7) ELLIS APARTMENTS LLC; POSITION: Owner NATURE: Investment property, residential lessor. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/02/2018; ADDRESS: 246 E Bridge St Apt 1, Westbrook ME 04092, United States; DESCRIPTION: I own some rental properties; 8) E & N PROPERTIES LLC; POSITION: Owner and Managing Member NATURE: Residential Real Estate, rental property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2021; ADDRESS: 246 E Bridge St Apt 1, Westbrook ME 04092, United States; DESCRIPTION: I am the owner of this rental property; 9) EW INVESTMENTS LLC; POSITION: Owner & Managing Member NATURE: This is residential real estate, residential rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/14/2021; ADDRESS: 246 E Bridge St Apt 1, Westbrook ME 04092, United States; DESCRIPTION: I am a 50% owner and managing member of this rental property; 10) CHUCKVILLE LLC; POSITION: Owner NATURE: Residential Home used for rental purposes. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2023; ADDRESS: 246 E Bridge St Apt 1, Westbrook ME 04092, United States; DESCRIPTION: I own a rental property. 11) BARR & ELLIS LLC POSITION: Part Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2023 ADDRESS: 199 Pierce St, Westbrook ME 04092, United States DESCRIPTION: I am a 50% owner of this business which is a rental property. 12) MORELLIS LLC; POSITION: General Manager NATURE: This is a digital marketing agency for small and mid-sized businesses; INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/30/2023; ADDRESS: 246 E Bridge St Apt 1, Westbrook ME 04092, United States DESCRIPTION: I am the General Manager of Morellis LLC responsible in part of growing the business through aquiring new clients and making connections through my personal networking contacts.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 8, 2022 - April 24, 2024
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
South Portland, ME
Past
April 24, 2015 - April 24, 2024
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
South Portland, ME
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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.
