Shari Kinney
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.
Shari Kinney, who also goes by Shari Swain Kinney, Shari Anne Swain, Shari Swain, was a registered financial professional .
Shari is a previously registered financial professional and started their career in finance in 1996. Shari had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2019 - January 22, 2024
TRU INDEPENDENCE ASSET MANAGEMENT, LLC
January 15, 2019 - January 19, 2024
APW CAPITAL, INC.
May 23, 2013 - November 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2013 - November 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - June 4, 2013
MORGAN STANLEY
June 1, 2009 - June 4, 2013
MORGAN STANLEY
October 25, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 12, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 3, 2001 - September 28, 2006
RAYMOND JAMES & ASSOCIATES, INC.
November 30, 2000 - November 9, 2001
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 2000 - December 1, 2000
WELLS FARGO CLEARING SERVICES, LLC
October 29, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 14, 1996 - September 9, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
TRU INDEPENDENCE ASSET MANAGEMENT, LLC
CRD#: 168256 / SEC#: 801-78748
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
TRU INDEPENDENCE ASSET MANAGEMENT, LLC
CRD#: 168256 / SEC#: 801-78748
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,261 |
| AUM (Assets Under Management) | $ 575,284,516 |
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.
