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Nicole D Vuu

KEY Investment Services LLC

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About Nicole D Vuu

Nicole Vuu is an investment professional with over 16 years of experience in the financial services industry. Nicole is currently registered with Key Investment Services LLC. Prior to joining Key Investment Services LLC, Nicole was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Nicole Vuu 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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Nicole Vuu’s Registration & Firm History

OH

08/19/2024 - Present

KEY Investment Services LLC (BROOKLYN OH)

NY

11/30/2021 - 09/22/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

WA

05/15/2019 - 12/06/2019

UMPQUA INVESTMENTS, INC. (SEATTLE WA)

WA

11/15/2016 - 04/11/2019

UNIONBANC INVESTMENT SERVICES, LLC (BELLEVUE WA)

WA

09/15/2010 - 08/14/2012

U.S. BANCORP INVESTMENTS, INC. (SEATTLE WA)

WA

07/12/1999 - 04/28/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (WOODINVILLE WA)

CA

07/01/1998 - 07/12/1999

BA INVESTMENT SERVICES, INC. (OAKLAND CA)

WA

02/27/1997 - 07/01/1998

SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)

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Licenses & Designations

BC

Issued 04/21/2017

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/23/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Nicole D Vuu. Review regulatory record here.
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