Jeffrey J. Waite
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.
Jeffrey Jay Waite was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1980. Jeffrey had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - May 31, 2019
KEY INVESTMENT SERVICES LLC
May 15, 2012 - September 21, 2016
LPL FINANCIAL LLC
May 15, 2012 - September 21, 2016
LPL FINANCIAL LLC
April 2, 2007 - May 15, 2012
HSBC SECURITIES (USA) INC.
January 1, 2005 - May 15, 2012
HSBC SECURITIES (USA) INC.
November 15, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 10, 1995 - November 8, 2004
ADVANTAGE CAPITAL CORPORATION
April 2, 1993 - February 23, 1995
H.J. MEYERS & CO., INC.
April 11, 1990 - February 26, 1993
GLEACHER & COMPANY SECURITIES, INC.
January 7, 1987 - April 12, 1990
LEHMAN BROTHERS INC.
November 13, 1985 - December 17, 1986
AMERICAN HERITAGE SECURITIES CORPORATION
March 26, 1984 - November 12, 1985
MICHAEL C. TALLEY & CO., INC.
July 24, 1980 - March 16, 1984
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
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.
