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Investment Adviser Firm Summary
KEY INVESTMENT SERVICES LLC ( CRD # 136300/SEC#:801-65060,8-66999 )
KEY INVESTMENT SERVICES LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/3/2006
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama3/31/2019
Alaska1/3/2006
Arizona3/26/2014
Arkansas3/30/2024
California3/26/2014
Colorado1/3/2006
Connecticut3/30/2016
Delaware3/22/2018
Florida3/26/2014
Georgia3/26/2014
Hawaii2/22/2021
Idaho1/3/2006
Illinois3/30/2016
Indiana1/3/2006
Kentucky1/3/2006
Louisiana3/30/2024
Maine1/3/2006
Maryland3/27/2015
Massachusetts3/26/2014
Michigan1/4/2006
Minnesota3/3/2020
Missouri2/22/2021
Montana3/29/2023
Nebraska2/22/2021
Nevada3/30/2016
New Hampshire3/30/2016
New Jersey8/14/2014
New Mexico3/3/2020
New York1/3/2006
North Carolina3/26/2014
Ohio1/3/2006
Oregon1/3/2006
Pennsylvania3/26/2014
Rhode Island3/31/2019
South Carolina3/26/2014
Tennessee8/1/2014
Texas3/26/2014
Utah1/3/2006
Vermont1/8/2009
Virginia8/1/2014
Washington1/3/2006
West Virginia2/22/2021
Wisconsin3/31/2019
Wyoming3/31/2019
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.