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Katrina Alice O'SUllivan

Key Investment Services LLC

Niagara Falls, NY

Brooklyn, OH

CRD 4507063

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Employer firm

Key Investment Services LLC CRD 136300

$8.88B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Key Investment Services Llc

4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-26
  • NY RA
    APPROVED
    Since 2021-03-26

Branch Locations

7350 Niagara Falls Blvd, Niagara Falls, NY 14304 • United States

4900 Tiedeman Road, Brooklyn, OH 44144 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Key Investment Services Llc Buffalo NY 01/2011 11/2016
Key Investment Services Llc Buffalo NY 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-07-01
S63 Uniform Securities Agent State Law Examination 2002-12-16
  • S65 Uniform Investment Adviser Law Examination
    2014-07-01
  • S63 Uniform Securities Agent State Law Examination
    2002-12-16
Other Names
  • Katrina Alice Washburn

View on SEC IAPD

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