Sofia Carter
Investment Adviser Representative at KEY Investment Services LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sofia Carter is an investment adviser representative with KEY Investment Services LLC in Westerville, OH, where they have been registered since 2025. They have worked in the securities industry since 2014 and have been registered with 4 firms, including J.p. Morgan Securities LLC and Huntington Financial Advisors. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Ohio.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Ohio
- Broker:
8 states and territories
California, Florida, Ohio, Oregon, Tennessee, Texas, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2014 – Jul 2019Fort Worth, TX
- BANK OF America, N.A.Jan 2014 – Jul 2019Fort Worth, TX
- J.P. Morgan Securities LLCJul 2019 – Nov 2022Orlando, FL
- JPMorgan Chase Bank, N.A.Jul 2019 – Nov 2022orlando, FL
- Taza Holdings LLCMay 2021 – Sep 2022Odessa, FL
- The Huntington Investment CompanyNov 2022 – May 2023Columbus, OH
- J.P. Morgan Securities LLCJun 2023 – Dec 2025Sunbury, OH
- JPMorgan Chase Bank, N.A.Jun 2023 – Dec 2025Sunbury, OH
- Huntington National BankDec 2022 – May 2023Columbus, OH
- Key Investment Services, LLCDec 2025 – no end date reportedBrooklyn, OH
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About KEY Investment Services LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 638
- Offices listed on AdvisorFinder:
- 15
- Main office:
- Brooklyn, OH
- SEC file number:
- 801-65060
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 30, 2026
View full firm profileOther advisors at KEY Investment Services LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sofia Carter has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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