DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
Rensselaer, NY 12144
518-238-6082
About KEY INVESTMENT SERVICES LLC
When you invest, you want to see growth and know where it's coming from. Key Investment Services® (KIS) works with you to create a comprehensive plan tailored to your needs and interests, and we'll use it to track your progress and adjust your strategies to help you reach your goals.
See Disclosures
General Information
Firm Start Year
1925
CRD#
2187856
Firm CRD#
136300
Insurance License#
518404
Name of Broker/Dealer
Pershing
States Licensed in
NY, FL, NC, SC, MA
Years of Experience in Financial Services
25
Work Experience
Prior to joining KIS, Stephen was the founding partner of an independent advisory firm he led for 18 years. There, he built a client-focused practice offering investment portfolio management, retirement planning, risk mitigation, and insurance solutions. His work was grounded in a deep understanding of market dynamics and a commitment to fiduciary responsibility.
Earlier in his career, Stephen held senior positions at Goldman Sachs, including Vice President, where he played a key role in global operations and systems integration, including developing client data systems and electronic trading infrastructure. His background also includes technical and strategic roles at Alliance Capital, Merrill Lynch, and Instinet.
Stephen holds an MS in Finance from Cass Business School in London and a BS in Computer Science from the New York Institute of Technology. He maintains FINRA Series 7 and 66 licenses, as well as New York State insurance certifications, and has held the Accredited Asset Management Specialist (AAMS®) designation since 2007.
With a blend of institutional expertise and personal advisory experience, Stephen is known for delivering thoughtful, client-centered advice and building lasting relationships based on trust, transparency, and results.
Work with the following types of clients
Non-Profit Organizations, Individual Investors, Businesses
Foreign Languages Serviced
English
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses
Services
Investment Types
Bonds, Mutual Funds, Stocks, Exchange Traded Funds (ETFs), Insurance, Annuities, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Phone, Our Office, Your Office, Your Home, Video Conference
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
AAMS®
Securities Licenses
Series 63, Series 7, Series 65
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Annuity, Disability
Firm Information
Assets Managed by Firm
$200 Billion
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$75,000
Compensation Methods
Based on Assets
Fee % Based on Assets
1%
Additional Details on Charges
Initial consultation and financial plan is complementary. Managed asset charge is based on complexity and asset values.
Minimum Fee Charged for Managed Accounts
.75%
Minimum Fee Charged for Hourly Planning Accounts
$0
Education
Bachelors Degree - Computer Science
NY Institute of Technology
9/1/1983 -5/1/1985
Cass Business Schhool - Accelerated MS Finance
Cass Business School
2002 -2003
Disclaimer
Key Investment Services LLC (KIS), a member of the Key financial network, utilizes e-mail to better communicate with its clients. Based upon the potential for time delays, KIS will not accept any order for the purchase or sale of a security or other product via an e-mail transmission. All e-mail transmissions are reviewed by KIS supervisory personnel. Based upon the nature of e-mail, KIS cannot guarantee its confidentiality; therefore, information of a sensitive or confidential nature should not be transmitted. Investment products are offered through Key Investment Services LLC (KIS), member FINRA/SIPC. Insurance products are offered through KeyCorp Insurance Agency USA, Inc. (KIA). KIS and KIA are affiliated with KeyBank National Association (KeyBank). Investment and insurance products made available through KIS and KIA are: The summaries, prices, quotes and/or statistics contained herein have been obtained from sources believed to be reliable but are not necessarily complete and cannot be guaranteed. They are provided for informational purposes only and are not intended to replace any confirmations or statements. Past performance does not guarantee future results. * NOT FDIC INSURED * NOT BANK GUARANTEED * MAY LOSE VALUE * NOT A DEPOSIT * NOT INSURED BY ANY FEDERAL OR STATE GOVERNMENT AGENCY * KIS, KIA and KeyBank are separate entities, and when you buy or sell securities and insurance products you are doing business with KIS and/or KIA, and not KeyBank. 4900 Tiedeman Road, Brooklyn, Ohio 44144 1-888-KIS2YOU