Thomas Michael Fino

Current Employers

Key Investment Services Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-03-26

NY RA
APPROVED

Since 2021-03-26

Branch Locations

4900 Tiedeman Road, Brooklyn, OH 44144 • United States

5173 Sheridan Drive, Williamsville, NY 14221 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Williamsville	NY	05/2015	09/2016
First Niagara Bank	Williamsville	NY	05/2015	09/2016
Key Investment Services Llc	Cheekotwaga	NY	09/2016	12/2016
Keybank	Williamsville	NY	09/2016	07/2020
Key Investment Services Llc	Cheekotwaga	NY	12/2016	07/2020
Key Investment Services	Williamsville	NY	07/2020	Present

05/2015 → 09/2016

Lpl Financial Llc

Williamsville, NY
05/2015 → 09/2016

First Niagara Bank

Williamsville, NY
09/2016 → 12/2016

Key Investment Services Llc

Cheekotwaga, NY
09/2016 → 07/2020

Keybank

Williamsville, NY
12/2016 → 07/2020

Key Investment Services Llc

Cheekotwaga, NY
07/2020 → Present

Key Investment Services

Williamsville, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-01-09
S63	Uniform Securities Agent State Law Examination	2004-02-20

S65 Uniform Investment Adviser Law Examination

2020-01-09
S63 Uniform Securities Agent State Law Examination

2004-02-20

View on SEC IAPD

Current Employers

Key Investment Services Llc

Disclosures

Employment History

Exams

Other Firms

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