TL
Thomas R. Lott
KEY INVESTMENT SERVICES LLC
Belfast, ME 04915
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CRD#: 7654043
TL
Professional summary
Thomas Robert Lott, who also goes by Tom Lott, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Belfast, Maine.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Lott
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.
KIDS COOP THEATRE; NATURE: I am a board member for a theatre group in southern NH. I help them select shows for their season, help with creating graphics for their productions to promote on social media, and help answer technical theatre questions they have. INVESTMENT RELATED: No; NUMBER OF HOURS: 8; SECURITIES TRADING HOURS: 0; START DATE: 01/01/2024; ADDRESS: 232 N Broadway, Salem NH 03079, United States; DESCRIPTION: I help them select shows for their season, help with creating graphics for their productions to promote on social media, and help answer technical theatre questions they have. FUSION: BANGOR POSITION: Steering Committee Member NATURE: FUSION:Bangor is the area's networking group of engaged residents. The organization works to connect the residents of the area to each other, engage with the community and transform the Bangor region into the preferred place to live, work and play in Maine. Founded in 2005, FUSION:Bangor is a program of the Bangor Region Chamber of Commerce. It was modeled after its Canadian sister organization, FUSION Saint John, and played an important role in the Chamber's initiative to foster stronger business relations with New Brunswick. It later became a member of the Realize Maine Network, which works to attract and retain young professionals throughout Maine. Realize Maine is a program of the Maine Development Foundation and consists of eight groups throughout the state. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2025 ADDRESS: 2 Hammond Street, Bangor ME 04401, United States DESCRIPTION: The steering committee helps lead Fusion in planning events and committees for the year and helps members of fusion get involved in the community and network with other rising profesionals.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Lott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Robert Lott'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
June 13, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 111 Main St, Belfast, ME 04915RIA
BD
CRD#: 136300
Belfast, ME
Current
June 11, 2025 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 111 Main St, Belfast, ME 04915RIA
BD
CRD#: 136300
Belfast, ME
Past
August 29, 2024 - May 20, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BANGOR, ME
Past
August 7, 2024 - May 20, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BANGOR, ME
Past
January 27, 2023 - June 13, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
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
Maine(6/13/2025)
IAR
Maine(6/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/27/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
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.
