ND
Nathan P. Dillon
KEY INVESTMENT SERVICES LLC
Cincinnati, OH 45255
Some features on this profile are disabled
CRD#: 6936883
ND
Professional summary
Nathan Patrick 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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Dillon | Nathan Patrick Dillon
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.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Patrick Dillon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Patrick Dillon'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
December 17, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 8601 Beechmont Ave, Cincinnati, OH 45255RIA
BD
CRD#: 136300
Cincinnati, OH
Current
December 17, 2024 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 8601 Beechmont Ave, Cincinnati, OH 45255RIA
BD
CRD#: 136300
Cincinnati, OH
Past
January 28, 2022 - December 17, 2024
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
Cincinnati, OH
Past
June 11, 2018 - February 7, 2020
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Cincinnati, OH
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
Indiana(12/20/2024)
RR
Kentucky(12/17/2024)
IAR
Kentucky(12/17/2024)
RR
Ohio(12/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Cincinnati, OH 45255TRUST BUT VERIFY
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