Kim R. Schardan
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.
Kim Renae Schardan, who also goes by Kim Renae Brown, Kim Hines, Kim Renae Schardan, Renae Schardan, Kim Sinskey, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1997. Kim had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2017 - June 14, 2021
OSAIC INSTITUTIONS, INC.
April 10, 2017 - June 14, 2021
OSAIC INSTITUTIONS, INC.
October 11, 2016 - March 29, 2017
EDWARD JONES
October 7, 2016 - March 29, 2017
EDWARD JONES
April 27, 2015 - October 4, 2016
CETERA INVESTMENT ADVISERS LLC
April 27, 2015 - October 4, 2016
CETERA INVESTMENT SERVICES LLC
May 19, 2014 - April 20, 2015
PNC WEALTH MANAGEMENT LLC
May 19, 2014 - April 20, 2015
PNC WEALTH MANAGEMENT LLC
September 26, 2011 - April 29, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2011 - April 29, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 10, 2010 - September 19, 2011
CUNA BROKERAGE SERVICES, INC.
November 5, 2010 - September 19, 2011
CUNA BROKERAGE SERVICES, INC.
April 20, 2010 - October 29, 2010
U.S. BANCORP INVESTMENTS, INC.
November 13, 2009 - March 30, 2010
PNC WEALTH MANAGEMENT LLC
May 6, 2005 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 23, 2003 - May 12, 2005
ALLSTATE FINANCIAL SERVICES, LLC
December 1, 2001 - February 21, 2003
U.S. BANCORP INVESTMENTS, INC.
June 26, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
April 7, 1998 - June 26, 2000
FIRST BROKERAGE AMERICA, L.L.C.
December 15, 1997 - April 8, 1998
ASSOCIATED INVESTMENT SERVICES, INC.
August 4, 1997 - December 15, 1997
ESSEX NATIONAL SECURITIES, LLC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Series 7TO
Date: 7/14/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/14/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
