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Geoffrey Michael James

KEY Investment Services LLC

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About Geoffrey Michael James

Geoffrey Michael James is a financial advisor at Key Investment Services LLC. Geoffrey has been in the financial services industry since 2010. Key Investment Services LLC has approximately $1 billion to $10 billion in assets under management. Geoffrey has a Series 6, 7, 63 and 66 license. Geoffrey has been registered with Key Investment Services LLC since 2022. Prior to joining Key Investment Services LLC, Geoffrey was a financial advisor at Wells Fargo Clearing Services, LLC. Geoffrey's previous experience includes working as a financial advisor at Northwestern Mutual Investment Services, LLC.

Firm Information

Geoffrey James is currently registered with KEY Investment Services LLC. KEY Investment Services LLC is an investment advisor registered with the SEC and in 51 states. Established in 2005, the firm provides portfolio management for individuals and other clients, including high-net-worth individuals, charitable organizations, pension plans, and corporations. KEY Investment Services LLC manages assets between $1 billion and $10 billion and offers wrap fee programs. The firm's primary office is located in Brooklyn, OH.
KEY Investment Services LLC

4900 TIEDEMAN ROAD

BROOKLYN, OH 44144

$4.19B

Assets Under Management

Not reported

Total Clients

1,040

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Geoffrey James’s Registration & Firm History

OH

01/25/2022 - Present

KEY Investment Services LLC (BROOKLYN OH)

CT

12/22/2010 - 11/29/2017

WELLS FARGO CLEARING SERVICES, LLC (SOUTHBURY CT)

CT

05/12/2010 - 08/10/2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WESTPORT CT)

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Licenses & Designations

BOTH

Issued 12/28/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/16/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/19/2012

Series 7 - General Securities Representative Examination

BC

Issued 05/11/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Geoffrey Michael James. Review regulatory record here.
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