John Kincaid, financial advisor Sedona AZ
63 score

John Kincaid

CRD Number: 1250241
Current Firm: Cetera Advisors LLC

John Kincaid (CRD# 1250241) is an Investment Advisor Representative working at Cetera Advisors LLC in Sedona, AZ and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Advisors LLC Denver, CO Jan 2012 - Current 4
Kincaid Financial Advisors Sedona, AZ Dec 2000 - Current 16
Multi-financial Securities Corporation Denver, CO Jul 2007 - Dec 2012 5
Legacy Advisory Services, Inc. Petaluma, CA Jul 2001 - Jul 2007 6
Legacy Financial Services Petaluma, CA Mar 2000 - Jul 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2000
S65 NASAA Investment Advisors Law Examination May 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for John B. Kincaid
Phone Number: 800-929-3485
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    9,424
    MILLIONS
  • Total Number of Accounts
    47,356
    ACCOUNTS
  • Average Account Value
    $199,001
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
63

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