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Theresa Marie Smith

KEY Investment Services LLC

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About Theresa Marie Smith

Theresa Marie Smith is a registered representative with Key Investment Services LLC. Theresa has been in the financial services industry since August 9, 1992. Theresa specializes in financial planning, portfolio management for individuals and selection of other advisors. Theresa is also a registered investment advisor representative in New York. Prior to joining Key Investment Services LLC, Theresa was with LPL Financial LLC. Theresa has a wide range of experience in the financial services industry and is committed to providing her clients with the highest level of service.

Firm Information

Theresa Smith 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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Theresa Smith’s Registration & Firm History

NY

03/26/2021 - Present

KEY Investment Services LLC (Hamburg NY)

NY

05/15/2012 - 09/21/2016

LPL FINANCIAL LLC (WEST SENECA NY)

NY

07/06/2011 - 05/15/2012

HSBC SECURITIES (USA) INC. (LACKAWANNA NY)

NY

01/01/2005 - 06/17/2011

HSBC SECURITIES (USA) INC. (BUFFALO NY)

NY

12/21/1998 - 01/01/2005

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

NY

04/28/1997 - 12/09/1998

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

07/10/1992 - 04/25/1997

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

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Licenses & Designations

BOTH

Issued 12/28/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/25/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/13/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/24/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/09/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Theresa Marie Smith.
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