Karen A. Wintering
Professional summary
Karen Ann Wintering, who also goes by Karen Ann Reineck, Karen Wintering Reineck, Karen A Wintering, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Alpharetta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Alpharetta, Georgia.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Karen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karen Ann Wintering's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009September 4, 2008 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009January 12, 2009 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
December 2, 2003 - August 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 17, 2003 - October 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2000 - March 29, 2001
KEYBANC CAPITAL MARKETS INC.
April 9, 1999 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
October 6, 1997 - April 13, 1999
WACHOVIA BROKERAGE SERVICE
April 6, 1993 - September 8, 1997
KEYBANC CAPITAL MARKETS INC.
December 9, 1991 - April 14, 1993
STONEX SECURITIES INC.
June 5, 1989 - December 19, 1989
CARNEGIE FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2012)
(1/5/2012)
(1/5/2012)
(1/5/2012)
(7/2/2019)
(11/10/2010)
(9/17/2008)
(9/4/2008)
(9/9/2016)
(1/5/2012)
(6/21/2018)
(9/18/2025)
(11/10/2010)
(1/5/2012)
(5/31/2023)
(1/5/2022)
(1/5/2012)
(1/5/2012)
(6/1/2018)
(10/5/2010)
(1/30/2018)
(1/5/2012)
(1/5/2012)
(4/13/2017)
(11/10/2010)
(11/10/2010)
(3/13/2017)
(2/12/2018)
(11/10/2010)
(3/12/2019)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
