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Theresa Marie Smith

Key Investment Services LLC

Hamburg, NY

Brooklyn, OH

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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

5334 Southwestern Blvd., Hamburg, NY 14075 • 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
Lpl Financial, Llc E. Aurora NY 04/2012 09/2016
Key Investment Services Llc Cheektowaga NY 09/2016 Present
Previous Registrations
  • 2013-02-22 → 2016-09-21
    Lpl Financial Llc
    West Seneca, NY
    Lockport, NY
    Hamburg, NY
    E. Aurora, NY
    Hamburg, NY
    Hamburg, NY
  • 2011-07-13 → 2012-05-15
    Hsbc Securities (Usa) Inc.
    East Aurora, NY
    Hamburg, NY
    Angola, NY
    Lackawanna, NY
    Buffalo, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-28
S63 Uniform Securities Agent State Law Examination 1992-08-25
  • S66 Uniform Combined State Law Examination
    2012-12-28
  • S63 Uniform Securities Agent State Law Examination
    1992-08-25

View on SEC IAPD

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Robert A Lucarelli
Patrick Michael Gardner
Anthony J. Alleca
DAVID HIRSCHBINE
Aaron S Cohen
RICHARD A. CAMPBELL

Other Offices

LPL FINANCIAL LLC · HAMBURG, NY
KEY INVESTMENT SERVICES LLC · Hamburg, NY
EDWARD JONES · HAMBURG, NY
LPL FINANCIAL LLC · HAMBURG, NY
EQUITABLE ADVISORS, LLC · HAMBURG, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Hamburg, NY
CITIZENS SECURITIES, INC. · HAMBURG, NY
LPL FINANCIAL LLC · HAMBURG, NY

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