Individual Firm
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THERESA MARIE SMITH
CRD#: 2204718
IA
B
KEY INVESTMENT SERVICES LLCCRD#: 136300 5334 Southwestern Blvd.
Hamburg, NY 14075
Hamburg, NY 14075
0
Disclosures
32
Years of Experience
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State Registrations
B
California 9/21/2016
B
New York 9/21/2016
B
Colorado 11/28/2023
IA
New York 3/26/2021
B
Florida 9/23/2016
B
North Carolina 9/21/2016
B
Hawaii 9/21/2016
B
Pennsylvania 9/21/2016
B
Nevada 9/21/2016
B
South Carolina 5/22/2019
B
New Jersey 9/21/2016
B
Texas 9/21/2016
B
New Mexico 5/22/2019
B
Virginia 5/22/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 3/26/2021
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Registered with this firm since 9/21/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/21/2016 - 12/31/2016 | ORCHARD PARK, NY | |
IA | 02/22/2013 - 09/21/2016 | WEST SENECA, NY | |
B | 05/15/2012 - 09/21/2016 | WEST SENECA, NY | |
IA | 07/13/2011 - 05/15/2012 | LACKAWANNA, NY | |
B | 07/06/2011 - 05/15/2012 | LACKAWANNA, NY | |
B | 01/01/2005 - 06/17/2011 | BUFFALO, NY | |
B | 12/21/1998 - 01/01/2005 | NEW YORK, NY | |
B | 04/28/1997 - 12/09/1998 | NEW YORK, NY | |
B | 07/10/1992 - 04/25/1997 | LONG ISLAND CITY, NY |
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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.