Ward N. Kinne
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ward Nelson Kinne was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1994. Ward had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2021 - December 16, 2022
LEGACY ADVISORY LIMITED COMPANY
July 22, 2016 - March 16, 2021
LEXAURUM ADVISORS
July 2, 2015 - July 22, 2016
VSR FINANCIAL SERVICES, INC.
July 2, 2015 - July 22, 2016
VSR FINANCIAL SERVICES, INC.
June 17, 2013 - July 2, 2015
FINTEGRA, LLC
June 17, 2013 - July 2, 2015
FINTEGRA, LLC
January 3, 2005 - July 9, 2013
AMERITAS INVESTMENT COMPANY, LLC
July 16, 2004 - July 9, 2013
AMERITAS INVESTMENT COMPANY, LLC
November 6, 2003 - May 17, 2004
EQUITY SERVICES, INC.
April 1, 2002 - May 17, 2004
EQUITY SERVICES, INC.
November 12, 1998 - February 19, 2002
PRINCIPAL SECURITIES, INC.
June 2, 1997 - August 3, 1998
EQUITY SERVICES, INC.
April 22, 1996 - December 4, 1996
WS GRIFFITH SECURITIES, INC.
December 12, 1994 - April 26, 1996
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEGACY ADVISORY LIMITED COMPANY
CRD#: 300802 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 480 |
| AUM (Assets Under Management) | $ 88,682,925 |
Red Flags
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