Vincent E. Cowles

ADVICEANDTAXES.COM LLC

CHANDLER, AZ 85226

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CRD#: 1417253

Professional summary

Vincent Edward Cowles, CFP® is a registered financial advisor currently at ADVICEANDTAXES.COM LLC located in Chandler, Arizona.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Vincent has worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Vincent Edward Cowles's CRS (Customer Relationship Summary).

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

April 15, 2011 - Present

ADVICEANDTAXES.COM LLC

Office #1: 3100 W Ray Rd Ste 334, Chandler, AZ 85226Office #2: 3100 W Ray Rd Suite 201, Chandler, AZ 85226

RIA

CRD#: 156608

CHANDLER, AZ

Past

September 2, 1998 - January 4, 2007

COUNTRYWIDE SECURITIES CORPORATION

CRD#: 10598

CALABASAS, CA

Past

November 18, 1985 - August 18, 1987

PFS INVESTMENTS INC.

CRD#: 10111

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/1/2022)

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

Series 63

Date: 11/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/25/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/28/1998

Financial and Operations Principal Examination

Current Firm

ADVICEANDTAXES.COM LLC

ADVICEANDTAXES.COM LLC | KNIGHTSGATE FINANCIAL ADVISORS LLC

CRD#: 156608 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2022 Approved)

California

Registered Investment Advisory firm - (1/12/2023 Terminated)

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).

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Contact information

Main Address

3100 W Ray Rd Suite 201, Chandler, AZ 85226

Mailing Address

Phone number

(844) 532-0109

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 1,865,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Vincent E. Cowles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Edward Cowles's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVICEANDTAXES.COM LLC

COUNTRYWIDE SECURITIES CORPORATION

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1985

Series 7

Date: 6/25/1999

Series 6

Date: 11/14/1985

Series 27

Date: 8/28/1998

Current Firm

ADVICEANDTAXES.COM LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVICEANDTAXES.COM LLC

TRUST BUT VERIFY

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