Investment Adviser Representative
Investment Adviser Representative
John earned his Bachelor of Science Degree in Finance from Arizona State University in 1984. He has been providing clients with financial advice, portfolio management, insurance services, and estate planning for many years. John is the founder and principal of Kincaid Financial Advisors.
Specializing in the area of retirement planning and asset protection, John works with clients to help them with their objectives both in planning for retirement and portfolio management throughout their retirement years. Through consistent effort and a reputation of integrity, he has built a solid base of clients not only in Arizona, but in multiple states across the U.S. (for a complete list of states licensed in, please see bottom of this page).
John has developed strong relationships with several CPA’s and Estate Planning Attorneys who are available to assist in the overall strategic planning process.
John Kincaid holds Securities Registrations which represent one step in the registration process. They are:
Series 7 - General Securities Representative
This registration qualifies a candidate for the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.
Series 24 - General Securities Principal
This examination qualifies individuals required to register as general securities principals in order to manage or supervise the member's investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts.
Series 65 - Investment Adviser Representative
The Series 65 is designed to qualify candidates as investment adviser representatives.
Series 63 - Uniform Securities Agent
The Series 63 is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act.
John Kincaid holds an Arizona insurance license with the following lines of authority:
- Accident/Health Producer
- Life Producer
- Variable Life/Variable Annuities
John is also Insurance licensed in the following states: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Michigan, Montana, Nebraska, Nevada, New Hampshire, New Mexico, North Carolina, Ohio, Oregon, Texas, Utah and Washington.
Rochelle has been working for Kincaid Financial since February 2010 and has a wealth of experience in customer service. She prides herself on having a strong professional relationship with our clients and is always willing to go that extra mile.
Besides providing excellent client services, she handles regular office duties, light accounting, compliance, client account services, and legal document preparations. Clients appreciate Rochelle's friendly, outgoing, personable, and professional attitude every day.
Rochelle is originally from Minnesota but has been in the Sedona area for thirty plus years. Outside of the office, she enjoys meeting new people, walking her two dogs Nola and Jovie, camping, and time with family. She is also active with her local church and enjoys being on the worship team.
Krystal serves as an Administrative Assistant at Kincaid Financial Advisors. She has worked with John Kincaid for over 7 years. Before joining Kincaid Financial Advisors, Krystal worked in Human Resources and Hospitality.
Her responsibilities include assisting John with administrative & client services such as account maintenance, asset transfers, trading and portfolio rebalancing, running financial plans and much more. Her love of learning new things and desire to exceed client expectations keep her motivated and both her colleagues and the firm’s clients appreciate her resourcefulness, efficiency, and hard work. Krystal is looking forward to acquiring her license so that she can one day provide financial planning services to the public.
When she’s not at work, Krystal loves spending time with her husband, teenage son, new baby boy and their 3 dogs. If she has time for anything else, you will find her working on their family ranch, camping or laying in her hammock.