AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
KS

Kyle John Sheets

OSAIC INSTITUTIONS
Morton, IL
·CRD# 6617339·10 years experience

Professional Summary

Kyle John Sheets is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Morton, Illinois. Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Kyle has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
View profile
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

Years of Experience

10 years in the financial services industry

Current & Past Employments

OSAIC INSTITUTIONS, INC.·CRD# 35371
RIA
BD
721 W Jackson St, Morton, IL 61550
September 23, 2024 - Present
OSAIC INSTITUTIONS, INC.·CRD# 35371
RIA
BD
721 W Jackson St, Morton, IL 61550
September 23, 2024 - Present
WINTRUST INVESTMENTS LLC·CRD# 875
RIA
Morton, IL
May 3, 2016 - September 20, 2024
WINTRUST INVESTMENTS LLC·CRD# 875
BD
Morton, IL
March 30, 2016 - September 20, 2024

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

Current Firm

OI
OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone Number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

1,839

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2026)

Direct owners and executive officers

NamePositionCRD#
OSAIC INSTITUTIONS HOLDINGS, INC.HOLDING COMPANY—
AMARANTE, STEPHEN PAULPRESIDENT, CEO AND DIRECTOR3165067
HAMMOND, DORI JAMILLECHIEF COMPLIANCE OFFICER3259012
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
REID, SHANNONDIRECTOR4815189
SCHLUETER, MATTHEW ADAMDIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS2627931

Regulatory Assets Under Management

Total Number of Accounts

11,892

AUM (Assets Under Management)

$6,494,001,878

Disclosures

Regulatory Event

9

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

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.

Morton Community Bank located at 721 W. Jackson Street, Morton, IL 61550. Investment-related. Position is a financial advisor. 160 hours per month of which 160 hours are during securities-trading hours. Start date of relationship is 2/8/2016. WTI compliance has reviewed the outside employment and have determined that activity: 1.) does not interfere with or compromise employee's responsibilities to WTI, and 2.) will not be viewed by the public as part of WTI's business. MCB TRUST AND WEALTH MANAGEMENT IS LOCATED AT 201 Clocktower Drive East Peoria, IL 61611 INVESTMENT-RELATED. POSITION IS A ACCOUNT MANAGER TOLE WITH 96 HOUR PER MONTH, OF WHICH 80 HOUR PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES SERVICE ACCOUNT RELATIONSHIP MANAGEMENT AND SECURITIES ANALYSIS. START DATE OF POSITION IS 06/01/2020. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS.

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

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".
OI
OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(9/23/2024)
RR
Arkansas
(9/23/2024)
RR
California
(9/23/2024)
RR
Colorado
(9/23/2024)
RR
Florida
(9/23/2024)
RR
Georgia
(9/23/2024)
RR
Illinois
(9/23/2024)
IAR
Illinois
(9/23/2024)
RR
Indiana
(9/23/2024)
RR
Iowa
(9/23/2024)
RR
Kentucky
(9/23/2024)
RR
Maryland
(9/23/2024)
RR
Michigan
(9/23/2024)
RR
Minnesota
(9/23/2024)
RR
Missouri
(9/23/2024)
RR
Nebraska
(9/23/2024)
RR
Nevada
(9/23/2024)
RR
New Jersey
(9/23/2024)
RR
New Mexico
(9/23/2024)
RR
New York
(9/23/2024)
RR
North Carolina
(9/23/2024)
RR
Ohio
(9/23/2024)
RR
Oklahoma
(9/23/2024)
RR
Oregon
(9/23/2024)
RR
Pennsylvania
(9/23/2024)
RR
South Carolina
(9/23/2024)
RR
Texas
(9/23/2024)
IAR
Texas
(9/24/2024)
RR
Virginia
(9/23/2024)
RR
Washington
(9/23/2024)
RR
Wisconsin
(9/23/2024)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2016About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2016About the Series 7 exam
FINRA
SRO Registrations

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view Kyle John Sheets's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kyle John Sheets's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Faisal Nabil Al-hashim
Faisal Nabil Al-hashim

MAXIAM CAPITAL, LLC

Portland, OR · CRD#
ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
CA
Cody Anderson

J.P. MORGAN SECURITIES LLC

UPPER ARLINGTON, OH · CRD#
Seattle, WA · CRD#
KS
Follow Kyle
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required