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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

James Michael Schaible

Advisor at KEY INVESTMENT SERVICES LLC

BROOKLYN, OH | Rensselaer, NY

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Search this name across graphsid dfx:ria:f624fba9-65fd-ba38-7b35-19b4cdbe8767

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 22, 2021 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KEY INVESTMENT SERVICES LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 16, 2021
First registration: Oct 22, 2021
Dual registered: yes, broker-dealer
Other names: James Schaible|James Michael Schaible
IAPD individual key: 7362506

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Feb 27, 2024	n/a	yes	Rensselaer, NY\|BROOKLYN, OH	Current employment
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Apr 7, 2023	Feb 9, 2024	no	Springfield, MA\|Latham, NY\|HARTFORD, CT\|Latham, NY\|Latham, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 2, 2022	Apr 5, 2023	no	ALBANY, NY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 22, 2021	Jun 14, 2022	no	LATHAM, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD PRIVATE CLIENT WEALTH LLC	KEY INVESTMENT SERVICES LLC	Feb 9, 2024	Feb 27, 2024	18	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	TD PRIVATE CLIENT WEALTH LLC	Apr 5, 2023	Apr 7, 2023	2	Firm change	Ibd to ibd
LPL FINANCIAL LLC	RBC CAPITAL MARKETS, LLC	Jun 14, 2022	Aug 2, 2022	49	Firm change	RIA to ibd

Relationships

Registered with (4)

→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: current employment
Feb 27, 2024 to presentfactForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Apr 7, 2023 to Feb 9, 2024factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Aug 2, 2022 to Apr 5, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 22, 2021 to Jun 14, 2022factForm ADV

Dated events

Occurred
Feb 9, 2024
Advisor changed firm
James Michael Schaible left Td Private Client Wealth Llc for Key Investment Services Llc (registered 2024-02-27)
Form ADVobserved 4 days ago
Occurred
Apr 5, 2023
Advisor changed firm
James Michael Schaible left Rbc Capital Markets, Llc for Td Private Client Wealth Llc (registered 2023-04-07)
Form ADVobserved 4 days ago
Occurred
Jun 14, 2022
Advisor changed firm
James Michael Schaible left Lpl Financial Llc for Rbc Capital Markets, Llc (registered 2022-08-02)
Form ADVobserved 4 days ago