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Heather Nicole Carlson

KEY Investment Services LLC

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About Heather Nicole Carlson

Heather Nicole Carlson is a financial advisor associated with KEY Investment Services LLC in Baldwin Place, New York. Heather is registered with the state of New York. She is a licensed Series 6 and Series 63 registered representative. Heather has been in the financial industry since 2017, and has experience with J.P. MORGAN SECURITIES LLC prior to her current role. Heather Carlson provides financial advice and portfolio management for both individuals and investment companies.

Firm Information

Heather Carlson 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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Heather Carlson’s Registration & Firm History

NY

02/13/2023 - Present

KEY Investment Services LLC (Baldwin Place NY)

NY

02/27/2020 - 06/18/2021

KEY INVESTMENT SERVICES LLC (Baldwin Place NY)

NY

03/27/2015 - 10/22/2019

J.P. MORGAN SECURITIES LLC (PEEKSKILL NY)

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Licenses & Designations

BC

Issued 04/10/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/2015

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Heather Nicole Carlson. Review regulatory record here.
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