CL
Charles M. Law
KEY INVESTMENT SERVICES LLC
Franklin, IN 46131
Some features on this profile are disabled
CRD#: 6601810
CL
Professional summary
Charles Michael Law, who also goes by Mike Law, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Franklin, Indiana.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Charles has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Law
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) Independent Executor of Parents' Estate, Start date: 06/14/2018, Address: 2187 S Woodgrove Way, New Palestine, IN 46163, 0 total hours per month, Not investment related, No annual compensation, 2) Briarwood Trace HOA Board Member, Start date: 06/01/2017, Address: 2187 S Woodgrove Way, New Palestine, IN 46163, 5 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Charles Michael Law's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Michael Law'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
May 1, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1750 Northwood Plaza Dr., Franklin, IN 46131RIA
BD
CRD#: 136300
Franklin, IN
Current
May 1, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1750 Northwood Plaza Dr., Franklin, IN 46131RIA
BD
CRD#: 136300
Franklin, IN
Past
July 13, 2021 - May 10, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
INDIANAPOLIS, IN
Past
June 10, 2021 - May 10, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
INDIANAPOLIS, IN
Past
June 30, 2020 - May 20, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Indianapolis, IN
Past
June 25, 2020 - May 20, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Indianapolis, IN
Past
May 9, 2016 - April 2, 2020
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Indianapolis, IN
Past
March 28, 2016 - April 2, 2020
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
Indianapolis, IN
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
Arizona(5/1/2023)
RR
Arkansas(5/1/2023)
RR
California(5/1/2023)
RR
Colorado(5/1/2023)
RR
Connecticut(5/1/2023)
RR
District of Columbia(5/1/2023)
RR
Florida(5/1/2023)
RR
Georgia(5/1/2023)
RR
Idaho(5/1/2023)
RR
Illinois(5/1/2023)
RR
Indiana(5/1/2023)
IAR
Indiana(5/1/2023)
RR
Kentucky(5/1/2023)
RR
Missouri(5/1/2023)
RR
North Carolina(5/1/2023)
RR
Ohio(5/1/2023)
RR
Pennsylvania(5/1/2023)
RR
South Carolina(5/1/2023)
RR
Tennessee(5/1/2023)
RR
Texas(5/1/2023)
RR
Wisconsin(5/1/2023)
RR
Wyoming(5/1/2023)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
