Securities offered through Osaic Wealth, Inc. member FINRA/SIPC and a registered investment advisor. Insurance services offered through Patricia Brennan are independent of Osaic Wealth, Inc. Advisory services offered through Key Financial, Inc., a registered investment advisor not affiliated with Osaic Wealth Inc.
The Advisors at Key Financial Inc. (“Key Financial”, “KFI”, “Company”) are Registered Representatives of and offer securities products & services through Osaic Wealth, Inc. Member FINRA/SIPC, a registered broker-dealer. In this regard, this communication is strictly intended for individuals residing in the states of California, Delaware, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, South Carolina, Texas, and Virginia. No offers may be made or accepted from any resident outside the specific states referenced.
The advisors at Key Financial are also separately registered as an investment adviser under Key Financial, a registered investment adviser, offering advisory services in the states of Delaware, Florida, Massachusetts, North Carolina, New Jersey, Pennsylvania, South Carolina, Texas, and Virginia. As such these services are strictly intended for individuals residing in the above-named states.
Important Consumer Information:
A broker-dealer “BD”, investment adviser “IA”, a BD agent, or IA Representative may only transact business in a state if first registered in that state or is excluded or exempt from registration in that state as a broker-dealer, investment adviser, BD agent or IA Representative, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either affecting or attempting to affect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion.
For information concerning the licensing status or disciplinary history of a broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.
This communication is strictly intended for individuals residing in the states of AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IL, IN, KY, LA, MA, MD, ME, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, UT, VA, WA, WI, WV. No offers may be made or accepted from any resident outside the specific state(s) referenced.
Key Financial, Inc. is an SEC registered investment adviser located in West Chester, Pennsylvania. A copy of the Company’s current written disclosure brochure (Forms CRS and ADV Part 2b) discussing our advisory services, operations and fees is available on our website, and continues to remain available upon request.
Key Financial may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements. The Company’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Key Financial’s web site on the internet should not be construed by any consumer and/or prospective client as KFI’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the internet. The Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the Company’s web site or incorporated herein, and therefore takes no responsibility. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Any subsequent, direct communication by Key Financial with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by the Company), will be profitable or equal any historical performance level(s).
Certain portions of the Company’s web site (i.e. newsletters, articles, commentaries, podcasts etc.) may contain a discussion of, and/or provide access to, Key Financial’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Key Financial, or from any other investment professional. Key Financial is not a law or accounting firm, and representatives are not attorneys or accountants, and no portion of the web site content should be interpreted as legal, accounting or tax advice. Guests on our podcasts are selected based on relationships and reputation, but their service models and businesses have not been vetted by any representative of Key Financial, Inc and any information provided should not be taken as an endorsement of any kind.
PLEASE NOTE: The information being provided is strictly as a courtesy. When you link to any of the web sites provided here, you are leaving this web site. We make no representation as to the completeness or accuracy of information provided on these web sites. We are not responsible for the information or content provided on these sites. Nor is the Company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, web sites, information and programs made available through this web site. When you access one of these web sites, you are leaving our web site and assume total responsibility and risk for your use of the web sites you are linking to.
Awards & Rankings:
Forbes-Ranked Advisors (ex. Forbes Top 250 Wealth Advisors April 2023, Forbes Top Women Wealth Advisors February 2023, Forbes Best-in-State Wealth Advisors – February 2023) Methodology Summary: developed by SHOOK Research, is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. There is no fee in exchange for rankings. Rankings are based on the opinions of SHOOK Research, LLC and are not indicative of future performance or representative of any one client’s experience.
For more information on methodology, please visit: https://www.forbes.com/sites/rjshook/2022/04/07/methodology-forbes-best-in-state-wealth-advisors-2022/?sh=5e1d81147fee
Barron’s publishes four individual advisor rankings each year -Top 100 Advisors (April 2023), Top 100 Women Advisors (June 2023), Top 100 Independent Advisors (October 2022), Top 1,200 Advisors (March 2023) along with three team- or firm-based rankings. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 100 Women Financial Advisors (2015–2023) Methodology Summary:
Barron’s bases its ratings on qualitative criteria: professionals with a minimum of 7 years financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance.
Barron’s Top 1,200 Financial Advisors (2016-2023) Methodology Summary:
Barron’s state-by-state ranking of the top financial advisors in the United States. Factors included in the rankings are assets under management, revenues generated by advisors for their firms, quality of practices, and philanthropic work. Barron’s examines regulatory records, internal Company documents, and extensive questionnaires filled out by the advisors themselves. Investment performance isn’t explicitly a criterion, because the advisors pursue a wide range of investment goals for their clients. A total of 1,200 advisors were ranked based on data provided by over 4,000 advisors across the nation. In the final list, advisors are ranked by state. The number of advisors included for each state was based on population. Key Financial did not pay to participate in this ranking. For more information about the Barron’s Top 1,200 Financial Advisors Ranking, including the other firms listed, please follow this link.
Barron’s List of America’s Top Advisors Methodology Summary:
Over 4,000 advisors who wish to be ranked fill out a 102-question survey about their practice, data is then applied to a ranking formula. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms, and the quality of the advisors’ practices. The scoring system assigns a top score of 100 and rates the rest by comparing them with the top-ranked advisor.
For more info on Barron’s Top Advisor methodology, please visit: https://www.barrons.com/articles/barrons-methodology-for-ranking-financial-advisors-51615843316
Barron’s Hall of Fame Award:
The Barron’s Hall of Fame acknowledges advisors who have appeared in Barron’s annual Top 100 Advisor rankings for 10+ years. The Hall of Fame honors advisors who exemplify long-term success and commitment to their clients. Rankings and recognition from Barron’s are no guarantee of future investment success and do not ensure that a current or prospective client will experience a higher level of performance results and such rankings should not be construed as an endorsement of the advisor.
The Financial Times Top 300 Financial Advisors (2019-2020) is an independent listing produced by the Financial Times (March 2019). The FT 300 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials, and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 300. For more information on methodology, please visit: https://www.ft.com/content/2c9001aa-eb26-11e3-bab6-00144feabdc0
The Financial Times 400 Top Financial Advisors is an independent listing produced by the Financial Times (March 2016). The FT 400 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials, and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 400. For more information on methodology, please visit: https://www.ft.com/content/ddb3b6e0-78bd-11ea-9840-1b8019d9a987
Financial Times FT300 & FT400 Methodology Summary:
RIA firms applied for consideration, having met a minimum set of criteria. Applicants were then graded on six factors: assets under management (AUM); AUM growth rate; years in existence; advanced industry credentials of the firm’s advisers; online accessibility; and compliance records. There are no fees or other considerations required of RIAs that apply for the FT 300. The final FT 300 represents an impressive cohort of elite RIA firms, as the “average” practice in this year’s list has been in existence for over 22 years and manages $4.6 billion in assets. The FT 300 Top RIAs hail from 37 states.
The views expressed are not necessarily the views of Osaic Wealth, Inc. There are risks inherent in all investments including the potential loss of principal. Seek council of a tax professional and investment advisor prior to making any changes. Third party awards, rankings, and recognitions are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.