WK
William M. Kincaid
NORTHERN TRUST INVESTMENTS
Pittsburgh, PA
Some features on this profile are disabled
CRD#: 2129678
WK
Professional summary
William Michael Kincaid, who also goes by William James Chopey, is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Pittsburgh, Pennsylvania and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. William has worked at 6 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William James Chopey
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.
CRS (Client Relationship Summary) - RIA
Click below to view William Michael Kincaid'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®
NoneExperience
Current
August 22, 2022 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
RIA
CRD#: 105780
Pittsburgh, PA
Current
May 20, 2011 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Past
August 22, 2022 - February 18, 2025
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
CHICAGO, IL
Past
January 28, 2008 - March 29, 2011
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
PITTSBURGH, PA
Past
July 2, 2007 - December 17, 2007
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
PITTSBURGH, PA
Past
August 11, 2006 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
BD
CRD#: 39414
PITTSBURGH, PA
Past
April 10, 1991 - January 16, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
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".
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/23/2011)
RR
Alaska(5/23/2011)
RR
Arizona(5/23/2011)
RR
Arkansas(5/23/2011)
RR
California(5/23/2011)
RR
Colorado(5/23/2011)
RR
Connecticut(5/23/2011)
RR
Delaware(5/23/2011)
RR
District of Columbia(5/23/2011)
RR
Florida(5/23/2011)
RR
Georgia(5/23/2011)
RR
Hawaii(5/23/2011)
RR
Idaho(5/23/2011)
RR
Illinois(5/23/2011)
RR
Indiana(5/23/2011)
RR
Iowa(5/23/2011)
RR
Kansas(5/23/2011)
RR
Kentucky(5/23/2011)
RR
Louisiana(5/23/2011)
RR
Maine(5/23/2011)
RR
Maryland(5/23/2011)
RR
Massachusetts(5/23/2011)
RR
Michigan(5/23/2011)
RR
Minnesota(5/23/2011)
RR
Mississippi(5/23/2011)
RR
Missouri(5/23/2011)
RR
Montana(5/23/2011)
RR
Nebraska(5/23/2011)
RR
Nevada(5/23/2011)
RR
New Hampshire(5/23/2011)
RR
New Jersey(5/23/2011)
RR
New Mexico(5/23/2011)
RR
New York(5/23/2011)
RR
North Carolina(5/23/2011)
RR
North Dakota(5/23/2011)
RR
Ohio(5/25/2011)
RR
Oklahoma(5/23/2011)
RR
Oregon(5/23/2011)
RR
Pennsylvania(5/20/2011)
IAR
Pennsylvania(8/22/2022)
RR
Puerto Rico(1/30/2023)
RR
Rhode Island(5/23/2011)
RR
South Carolina(5/23/2011)
RR
South Dakota(5/23/2011)
RR
Tennessee(5/23/2011)
RR
Texas(5/23/2011)
RR
Utah(5/23/2011)
RR
Vermont(5/23/2011)
RR
Virgin Islands(6/24/2020)
RR
Virginia(5/23/2011)
RR
Washington(5/23/2011)
RR
West Virginia(5/23/2011)
RR
Wisconsin(5/23/2011)
RR
Wyoming(5/23/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
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Contact information
Main Address
50 S Lasalle Street, Chicago, IL 60603-1008
Mailing Address
Phone number
(312) 630-6000
Established
Firm type
Fiscal year end
# of Employees
674
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
