Keitha L. Kinne

AMG FUNDS LLC

Stamford, CT 06901

Some features on this profile are disabled

CRD#: 2039630

Professional summary

Keitha Lee Kinne is a registered financial advisor currently at AMG FUNDS LLC located in Stamford, Connecticut and AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

Keitha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Keitha has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keitha Lee Kinne's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 17, 2010 - Present

AMG FUNDS LLC

Office #1: 680 Washington Boulevard Suite 500, Stamford, CT 06901

RIA

CRD#: 153456

Stamford, CT

Current

September 5, 2007 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901

CRD#: 27314

Stamford, CT

Past

September 5, 2007 - June 18, 2010

AMG DISTRIBUTORS, INC.

RIA

CRD#: 27314

CHICAGO, IL

Past

May 15, 2006 - July 23, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - July 23, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

March 1, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 19, 1999 - May 26, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 28, 1995 - July 26, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 2, 1990 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMG FUNDS LLC

AMG DISTRIBUTORS | MANAGERS INVESTMENT GROUP LLC | AMG WEALTH | AMG FUNDS LLC | AMG FUNDS

CRD#: 153456 / SEC#: 801-56365

RIA

Registered Investment Advisory firm - (3/30/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/5/2007)

IAR

Connecticut
(6/17/2010)

Illinois
(12/22/2010)

Pennsylvania
(12/22/2010)

Texas
(3/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/28/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/13/1991

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AMG FUNDS LLC

AMG DISTRIBUTORS | MANAGERS INVESTMENT GROUP LLC | AMG WEALTH | AMG FUNDS LLC | AMG FUNDS

CRD#: 153456 / SEC#: 801-56365

RIA

Registered Investment Advisory firm - (3/30/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

680 Washington Boulevard Suite 500, Stamford, CT 06901

Mailing Address

Phone number

(203) 299-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 19,032,293,298

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keitha L. Kinne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keitha Lee Kinne's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMG DISTRIBUTORS, INC.

AMG DISTRIBUTORS, INC.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

AMG FUNDS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/2001

Series 65

Date: 11/13/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/28/1990

Series 24

Date: 6/13/2000

FINRA

Current Firm

AMG FUNDS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

AMG FUNDS LLC

TRUST BUT VERIFY

Similar Advisors