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Nathan Dillon

KEY INVESTMENT SERVICES
CINCINNATI, OH
·CRD# 6936883·8 years experience

Professional Summary

Nathan Dillon, who also goes by Nate Dillon, Nathan Patrick Dillon, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Cincinnati, Ohio. Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nathan has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nate Dillon, Nathan Patrick Dillon

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

8 years in the financial services industry

Current & Past Employments

KEY INVESTMENT SERVICES LLC·CRD# 136300
RIA
BD
1. 8601 Beechmont Ave, Cincinnati, OH 452552. 18 W Main St, Amelia, OH 45102
December 17, 2024 - Present
KEY INVESTMENT SERVICES LLC·CRD# 136300
RIA
BD
1. 8601 Beechmont Ave, Cincinnati, OH 452552. 18 W Main St, Amelia, OH 45102
December 17, 2024 - Present
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
Cincinnati, OH
January 28, 2022 - December 17, 2024
U.S. BANCORP INVESTMENTS, INC.·CRD# 17868
BD
Cincinnati, OH
June 11, 2018 - February 7, 2020

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Current Firm

KI
KEY INVESTMENT SERVICES LLC

KEY DOCTOR BANKING AND ADVISORY GROUP | KEY WEALTH | KEY PRIVATE CLIENT | 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)

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

1,325

SEC 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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

KIS FORM ADV PART 2A APPENDIX 1 (3/30/2026)

Direct owners and executive officers

NamePositionCRD#
KEYBANC CAPITAL MARKETS INC.SOLE OWNER566
DOUCE, MARK IVANCHIEF COMPLIANCE OFFICER2959137
FONTANAROSA, ANDREWCHIEF LEGAL OFFICER6704159
GULLA, MATTHEW TODDCHIEF ADMINISTRATIVE OFFICER3040637
HOTZ, BURTON BRUCE NICHOLASCHIEF RISK OFFICER3025138
JANOFSKY, PAULA MARIEOPERATIONS OFFICER2882776
KOVACHICK, MARK ALLANCHIEF FINANCIAL OFFICER/DIRECTOR5390571
SCHMIDT, SOLOMON LEECEO/PRESIDENT4404279
SKARDA, JOSEPH BRIELHEAD OF KEY WEALTH MANAGEMENT4288186
THEBERGE, JONATHAN MARCCHIEF OPERATIONS OFFICER7722891

Regulatory Assets Under Management

Total Number of Accounts

34,920

AUM (Assets Under Management)

$8,876,856,848

Disclosures

Regulatory Event

4

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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.

1.) PUBLISHED BOOK: "BANNERS AND BUZZER-BEATERS: A ROAD TRIP THROUGH KENTUCKY WILDCATS HISTORY"- POSITION: N/A - self-published book NATURE: N/A - Self-published a book through Amazon.com. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2020. ADDRESS: 1350 Avenue of the Americas, New York NY 10019, United States. DESCRIPTION: Self-published a book through Amazon.com. Duties include: Recipient of Royalties. 2.) LONGWORTH FINANCIAL GROUP, LLC; POSITION: Limited Partner (Passive member) NATURE: Family and friends investing together. Managing members seek investment opportunities in real estate or other alternative investments; they invited a dozen people within their circle to become limited partners with modest sums of money. This entity gives this group exposure to private investments that they normally wouldn't be able to participate in on their own. INVESTMENT RELATED: Yes; NUMBER OF HOURS: 0; SECURITIES TRADING HOURS: 0; START DATE: 09/16/2021. ADDRESS: 2300 Wicket Ct, Florence KY 41042, United States; DESCRIPTION: This is a private investment in which I am a Limited Partner (or "passive member"). The entity is managed by two managing members. As a limited partner, I have no decision-making authority except for voting rights that cover non-investment related items (i.e. removing a managing member, approving changes to bylaws, etc.) 3)INDUSTRY MENTOR FOR COLLEGE STUDENT CFA RESEARCH CHALLENGE POSITION: null NATURE: The CFA Society Research Challenge gives college students the opportunity to present research and analysis on businesses from the perspective of an analyst. The CFA Society seeks local CFA Charter holders to serve as an industry mentor to a group of presenters. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2025 ADDRESS: 4010 Executive Park Dr, Suite 100, Cincinnati OH 45241, United States DESCRIPTION: Serve as an Industry Mentor for local college students competing in the CFA Research Challenge. The primary responsibility of the Industry Mentor is to provide a "real-world" industry perspective into the students' theoretical knowledge base. Industry Mentors are not responsible for teaching students how to perform analysis. Mentors will be allowed to review students' written work and provide comments only. Mentors will not be allowed to perform any research or write any portion of the report. Presentations Industry Mentors may not contact the Subject Company, or any of its affiliates, distributors, suppliers or competitors within the context of the CFA Institute Research Challenge, with the exception of supervising student contacts.

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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 DOCTOR BANKING AND ADVISORY GROUP | KEY WEALTH | KEY PRIVATE CLIENT | 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(2/10/2026)
RR
Florida
(1/5/2026)
RR
Indiana
(12/20/2024)
RR
Kentucky
(12/17/2024)
IAR
Kentucky
(12/17/2024)
RR
North Carolina
(1/5/2026)
RR
Ohio
(12/17/2024)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2024About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2018About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2018About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2022About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Nathan Dillon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nathan Dillon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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