Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DANIEL J MULLETT
MULLETT J DANIEL
CRD#: 5755255
IA
Investment Adviser
B
Broker
KEY INVESTMENT SERVICES LLCCRD#: 136300 4717 MAIN AVENUE
ASHTABULA, OH 44004
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2011 (1 year)2 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
3/6/2024
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 9/27/2019
B
North Carolina 1/4/2019
B
Arizona 9/27/2019
B
Ohio 1/25/2017
B
Florida 1/4/2019
IA
Ohio 12/6/2017
B
Georgia 1/6/2020
B
Pennsylvania 9/21/2016
B
Indiana 1/4/2019
B
South Carolina 1/4/2019
B
Michigan 9/23/2021
B
Tennessee 1/11/2021
B
Nebraska 1/6/2020
B
Texas 1/4/2019
B
Nevada 9/27/2019
B
Virginia 1/11/2021
B
New Jersey 1/6/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
KEY INVESTMENT SERVICES LLC (CRD#:136300)
4717 MAIN AVENUE, ASHTABULA, OH 44004
Registered with this firm since 9/21/2016
B
KEY INVESTMENT SERVICES LLC (CRD#:136300)
4717 MAIN AVENUE, ASHTABULA, OH 44004
Registered with this firm since 9/21/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/20/2011 - 09/21/2016 LPL FINANCIAL LLC (CRD#:6413) ERIE, PA
B
 04/20/2011 - 09/21/2016 LPL FINANCIAL LLC (CRD#:6413) ERIE, PA
IA
 04/05/2010 - 03/21/2011 AXA ADVISORS, LLC (CRD#:6627) ERIE, PA
B
 03/18/2010 - 03/21/2011 AXA ADVISORS, LLC (CRD#:6627) ERIE, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.