Kenneth D. Fincher

PERIGON WEALTH MANAGEMENT

Rancho Santa Fe, CA 92067

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CRD#: 1910915

Professional summary

Kenneth Dean Fincher, ChFC®, who also goes by Kenny Fincher, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Rancho Santa Fe, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Kenneth has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenny Fincher

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.

[1] Wealth Advisors, Inc. Investment-related; 16909 Via De Santa Fe, Suite 200, Rancho Santa Fe, CA 92067; Wealth Advisors, Inc. is a DBA for investment advisory services with Perigon; 11/2023; 160 hours/month during, conducted during securities trading hours; financial planning and investment management services provided to clients. [2] Licensed insurance agent; Not-investment related; 16909 Via De Santa Fe, Suite 200, Rancho Santa Fe, CA 92067; Agent; 10/2003; Mr. Fincher spends up to five hours per month on this activity, all of which are during securities trading hours. Duties include insurance sales and reviews. [3] WRMA Realty; Not-investment related; 16909 Via De Santa Fe, Suite 200, Rancho Santa Fe, CA 92067; Real estate sales; Owner and broker; 05/2013; Mr. Fincher spends approximately five hours per month on this activity, none of which are during securities trading hours. Mr. Fincher's duties include real estate transactions, sales, and referrals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dean Fincher's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

November 15, 2023 - Present

PERIGON WEALTH MANAGEMENT, LLC

Office #1: 16909 Via De Santa Fe Suite 200, Rancho Santa Fe, CA 92067

RIA

CRD#: 131037

Rancho Santa Fe, CA

Past

April 18, 2014 - May 24, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

RANCHO SANTA FE, CA

Past

April 17, 2014 - May 24, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

RANCHO SANTA FE, CA

Past

February 9, 2009 - April 23, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

RANCHO SANTA FE, CA

Past

February 9, 2009 - April 23, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

RANCHO SANTA FE, CA

Past

October 8, 2004 - February 26, 2009

QA3 FINANCIAL CORP.

CRD#: 14754

SAN DIEGO, CA

Past

June 8, 2004 - February 16, 2024

WEALTH ADVISORS, INC.

RIA

CRD#: 130478

HENDERSON, NV

Past

October 28, 2003 - September 28, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SAN DIEGO, CA

Past

October 8, 2003 - September 28, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

December 15, 1997 - October 20, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

January 24, 1989 - October 20, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 24, 1989 - October 20, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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

California
(11/15/2023)

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: 12/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2000

General Securities Principal Examination

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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Contact information

Main Address

201 Mission Street Suite 1825, San Francisco, CA 94105

Mailing Address

Phone number

(877) 977-2555

Established

Firm type

Fiscal year end

# of Employees

141

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)

PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,456
AUM (Assets Under Management)	$ 8,714,418,958

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2024	Cover Page	Report
10/24/2023	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kenneth D. Fincher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dean Fincher's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

QA3 FINANCIAL CORP.

WEALTH ADVISORS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PERIGON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1989

Series 24

Date: 2/26/2000

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PERIGON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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