YL
Yan Lee
KEY INVESTMENT SERVICES LLC
Mill Creek, WA 98012
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CRD#: 7225220
YL
Professional summary
Yan Lee, who also goes by Yan N/a Lee N/a, Yan Lee, Alice Lee, Yan Qian, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Mill Creek, Washington.
Yan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Yan has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yan N/a Lee N/a | Yan Lee | Alice Lee | Yan Qian
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) 10/2022- Real Estate Rental- Owner- 21602 Masonwood Ln; Richmond, TX- start date 4/1/2022- 0hrs/mth 2) Community Advisor for Evergreen Hospital; 12040 NE 128th St., Kirkland, Washington 98034; volunteer; 1 hour per month during non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Yan Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yan Lee'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 18, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 16202 Bothell-everett Hwy., Mill Creek, WA 98012RIA
BD
CRD#: 136300
Mill Creek, WA
Current
May 18, 2023 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 16202 Bothell-everett Hwy., Mill Creek, WA 98012RIA
BD
CRD#: 136300
Mill Creek, WA
Past
October 20, 2022 - January 24, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
Renton, WA
Past
October 14, 2022 - January 19, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
RENTON, WA
Past
February 15, 2022 - June 1, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
KIRKLAND, WA
Past
February 15, 2022 - June 1, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
KIRKLAND, WA
Past
June 23, 2020 - August 16, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BEAVERTON, OR
Past
May 25, 2020 - August 13, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BELLEVUE, WA
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(5/18/2023)
RR
California(5/18/2023)
RR
Idaho(5/18/2023)
RR
Nebraska(5/18/2023)
RR
Oregon(5/18/2023)
RR
South Carolina(5/18/2023)
RR
Texas(5/18/2023)
RR
Washington(5/18/2023)
IAR
Washington(5/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2020
General Securities Representative ExaminationGeneral 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.
