John M. Hind

Some features on this profile are disabled

CRD#: 1225880

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.

John Mckenzie Hind SR, who also goes by John Mckenzie Hind, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Mckenzie Hind

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 21, 2010 - December 31, 2016

FROST INVESTMENT ADVISORS, LLC

RIA

CRD#: 146148

DALLAS, TX

Past

June 8, 2001 - May 11, 2009

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

DALLAS, TX

Past

March 3, 1998 - August 31, 1998

FRONTIER SECURITIES, INC.

CRD#: 38854

DALLAS, TX

Past

March 16, 1994 - February 12, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

September 6, 1990 - March 24, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 11, 1988 - September 24, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 30, 1984 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

FROST INVESTMENT ADVISORS, LLC

FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY

CRD#: 146148 / SEC#: 801-68724

RIA

Registered Investment Advisory firm - (1/25/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/19/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

FROST INVESTMENT ADVISORS, LLC

FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY

CRD#: 146148 / SEC#: 801-68724

RIA

Registered Investment Advisory firm - (1/25/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

111 West Houston Street 10th Floor, San Antonio, TX 78205

Mailing Address

Post Office Box 2509, San Antonio, TX 78299-2509

Phone number

(210) 220-5070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 5,435,683,122

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/09/2023	Cover Page	Report
12/09/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John M. Hind

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

FRONTIER SECURITIES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

FROST INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2010

Series 63

Date: 8/31/1984

Series 7

Date: 9/20/1986

Current Firm

FROST INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors