Individual Firm
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ROBERT JAMES HOPE
CRD#: 1171370
IA
B
KEY INVESTMENT SERVICES LLCCRD#: 136300 95 WOLF RD
ALBANY, NY 12205
ALBANY, NY 12205
View By:
10/17/2016
Customer Dispute
Settled
State Registrations
B
Arizona 10/21/2011
B
New Hampshire 12/3/2012
B
California 7/9/2007
B
New Jersey 1/3/2006
B
Colorado 11/7/2014
B
New York 1/3/2006
B
Connecticut 11/4/2010
IA
New York 2/25/2022
B
Delaware 1/14/2022
B
North Carolina 4/7/2008
B
Florida 11/6/2006
B
Ohio 3/25/2008
B
Georgia 1/14/2022
B
Pennsylvania 4/7/2010
B
Illinois 8/3/2016
B
South Carolina 1/10/2020
B
Maryland 4/7/2015
B
Texas 1/3/2006
B
Massachusetts 4/12/2007
B
Vermont 1/13/2006
B
Minnesota 8/31/2007
B
Virginia 1/3/2006
SRO Registrations
B
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IA
Registered with this firm since 2/25/2022
B
Registered with this firm since 1/3/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/14/1999 - 12/31/2005 | COLONIE, NY | |
B | 05/14/1999 - 12/31/2005 | COLONIE, NY | |
B | 03/11/1993 - 05/14/1999 | CLEVELAND, OH | |
B | 03/14/1991 - 11/04/1992 | ALBANY, NY | |
B | 02/01/1988 - 03/05/1990 | WEEHAWKEN, NJ | |
B | 06/28/1984 - 02/10/1988 | ||
B | 09/21/1983 - 04/13/1984 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.