Summary
Overview
Work History
Skills
Certification
Timeline
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Shari S. Kinney

Harrisburg

Summary

Experienced and dedicated Senior Registered Associate with 25+ years in the financial services industry. Skilled in client relationship management, trade execution, compliance, and operational support. Proven track record of delivering exceptional service and maintaining high standards in fast-paced environments. Series 7 and Series 66 are inactive now due to not being affiliated with a broker dealer or RIA. I would like to contribute my expertise in a client-focused remote role.

Overview

34
34
years of professional experience
1
1
Certification

Work History

Advisor Transition Specialist

Advisor Transition Services – Remote
01.2023 - Current
  • Support financial advisors transitioning from current firms to independent RIAs or aggregator firms
  • Coordinate and execute account migrations to new custodial platforms.
  • Collaborate with multiple firms and vendors to ensure seamless onboarding.
  • Work within various CRMs and operations systems to maintain accurate client record and transition workflows.
  • Guide clients through compliance requirements and documentation as part of the setup process.

Senior Registered Associate

Yellowwood Wealth Solutions
01.2018 - 01.2023
  • Played a key role in launching YellowWood Wealth Solutions, an independent RIA firm, after transitioning from Merrill Lynch with two financial advisors.
  • Assisted in the operational setup of the firm, including account migration and client communication.
  • Supported financial advisors in client service, account management, and onboarding using Raymond James as the custodian.
  • Opened and maintained brokerage and advisory accounts, ensuring compliance with firm and industry regulations.
  • Executed trades in equity and fixed income products.
  • Resolved client inquiries promptly, contributing to long-term client satisfaction.
  • Assisted with scheduling, documentation, and reporting to streamline advisor workflows.

Senior Registered Client Associate

Merrill Lynch
01.2013 - 01.2018
  • Provided operational and administrative support to a high-volume advisory team.
  • Ensured accuracy and compliance in account documentation and trade processing.
  • Acted as a key liaison between clients and back-office personnel.
  • Handled client inquiries and service requests with professionalism and efficiency.

Senior Registered Associate

Morgan Stanley
01.2006 - 01.2013
  • Opened and serviced investment accounts, maintaining strict compliance with policies and procedures.
  • Delivered proactive support to clients and advisors, enhancing retention and trust.
  • Handled client transactions, orders, and document processing with accuracy and speed.
  • Contributed to training and onboarding efforts for new associates.

Registered Sales Assistant – Institutional Fixed Income Desk

Raymond James & Associates, Inc.
01.2000 - 01.2006
  • Worked with Raymond James back office staff to ensure the bonds settled and cleared.
  • Managed compliance tasks and maintained accurate records for regulatory audits.
  • Supported a small branch with administrative, client service, and trading responsibilities.

Registered Sales Assistant

First Union Brokerage Services, Inc.
01.1997 - 01.2000

Registered Sales Assistant

Smith Barney, Inc.
01.1991 - 01.1997

Skills

  • Relationship building
  • Problem-solving
  • Customer service
  • Teamwork and collaboration
  • Multitasking Abilities
  • Task prioritization

Certification

  • - FINRA Series 7
  • - FINRA Series 66

Timeline

Advisor Transition Specialist

Advisor Transition Services – Remote
01.2023 - Current

Senior Registered Associate

Yellowwood Wealth Solutions
01.2018 - 01.2023

Senior Registered Client Associate

Merrill Lynch
01.2013 - 01.2018

Senior Registered Associate

Morgan Stanley
01.2006 - 01.2013

Registered Sales Assistant – Institutional Fixed Income Desk

Raymond James & Associates, Inc.
01.2000 - 01.2006

Registered Sales Assistant

First Union Brokerage Services, Inc.
01.1997 - 01.2000

Registered Sales Assistant

Smith Barney, Inc.
01.1991 - 01.1997

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Shari S. Kinney