TA
Thomas C. Anderson
KEY INVESTMENT SERVICES LLC
Snyder, NY 14226
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CRD#: 6997835
TA
Professional summary
Thomas Conrad Anderson, AIF®, who also goes by Thomas C Anderson, Thomas Conrad Distefano, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Snyder, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Thomas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas C Anderson | Thomas Conrad Distefano
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) Name of Business: St. Francis High School; Address: 4129 Lake Shore Road, Hamburg, NY, 14075, United States; Activity Type: Board Member, Board Subcommittee Member, Officer, or Director; Position/Title: Committee Member; Investment Related: No; Start Date: 03/01/2019; Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1; Description of duties: My role as an alumni board member is to help with events that our alumni put on for the school such as help at our annual golf tournament, bocce ball tournament, open house and help with engagement of other alumni of our high school; 2) Big Brother's, Big Sister's of Niagara/Southern Tier; not investment-related; mentorship programs; young professional board member; 1/22/2023; 1-2 hours during non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Conrad Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Conrad Anderson'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®
Experience
Current
September 2, 2022 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4467 Main St., Snyder, NY 14226RIA
BD
CRD#: 136300
Snyder, NY
Current
September 2, 2022 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 4467 Main St., Snyder, NY 14226RIA
BD
CRD#: 136300
Snyder, NY
Past
May 3, 2021 - July 11, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Williamsville, NY
Past
May 3, 2021 - July 11, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Williamsville, NY
Past
February 25, 2020 - May 17, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
AMHERST, NY
Past
July 26, 2019 - May 17, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
AMHERST, NY
Past
November 8, 2018 - February 4, 2019
MORGAN STANLEY
BD
CRD#: 149777
BUFFALO, 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
Arizona(9/2/2022)
RR
California(9/2/2022)
RR
Colorado(11/2/2022)
RR
District of Columbia(9/2/2022)
RR
Florida(9/2/2022)
RR
Georgia(9/2/2022)
RR
Illinois(9/2/2022)
RR
Indiana(9/2/2022)
RR
Maine(9/2/2022)
RR
Maryland(9/2/2022)
RR
Massachusetts(9/2/2022)
RR
Michigan(9/2/2022)
RR
Minnesota(9/2/2022)
RR
Nevada(9/2/2022)
RR
New Hampshire(9/2/2022)
RR
New Jersey(9/2/2022)
RR
New York(9/2/2022)
IAR
New York(9/2/2022)
RR
North Carolina(9/2/2022)
RR
Ohio(9/6/2022)
RR
Oklahoma(9/2/2022)
RR
Pennsylvania(9/2/2022)
RR
South Carolina(9/2/2022)
RR
Tennessee(9/2/2022)
RR
Texas(9/2/2022)
RR
Vermont(9/2/2022)
RR
Virginia(9/2/2022)
RR
Washington(7/18/2025)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KEY INVESTMENT SERVICES LLC
CRD#: 136300Snyder, NY 14226TRUST BUT VERIFY
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