James D Keller

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

5318 W. Genesee St., Camillus, NY 13031 • United States

4900 Tiedeman Road, Brooklyn, OH 44144 • 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
Principal	Syracuse	NY	05/2016	01/2018
Principal Securities	Syracuse	NY	05/2016	01/2018
Key Investment Services, Llc	Syracuse	NY	02/2018	04/2020
Key Bank	Auburn	NY	02/2018	12/2018
Keybank	Auburn	NY	12/2018	04/2020
Key Investment Services Llc	Syracuse	NY	04/2020	Present

05/2016 → 01/2018

Principal

Syracuse, NY
05/2016 → 01/2018

Principal Securities

Syracuse, NY
02/2018 → 04/2020

Key Investment Services, Llc

Syracuse, NY
02/2018 → 12/2018

Key Bank

Auburn, NY
12/2018 → 04/2020

Keybank

Auburn, NY
04/2020 → Present

Key Investment Services Llc

Syracuse, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-07-23
S63	Uniform Securities Agent State Law Examination	2016-06-30

S65 Uniform Investment Adviser Law Examination

2020-07-23
S63 Uniform Securities Agent State Law Examination

2016-06-30

Other Names

James D Keller

View on SEC IAPD

Current Employers

Key Investment Services Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews