JA
John A. Amick
INTERCAROLINA FINANCIAL SERVICES
Greensboro, NC 27410-2447
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CRD#: 3110256
JA
Professional summary
John Albert Amick is a registered financial professional currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view John Albert Amick'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
June 7, 2018 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447RIA
BD
CRD#: 19475
Greensboro, NC
Past
September 9, 2016 - March 1, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
GREENSBORO, NC
Past
July 5, 2016 - March 1, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
GREENSBORO, NC
Past
March 22, 2016 - June 28, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
GREENSBORO, NC
Past
February 22, 2012 - June 28, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GREENSBORO, NC
Past
July 9, 2003 - August 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENSBORO, NC
Past
September 8, 2000 - August 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 1, 1998 - August 3, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
North Carolina(6/8/2018)
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
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410
Mailing Address
3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447
Phone number
(336) 288-6890
Established
North Carolina since 09/17/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (12 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 130,750,464 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
Company Information
INTERCAROLINA FINANCIAL SERVICES, INC.
CRD#: 19475Greensboro, NC 27410-2447TRUST BUT VERIFY
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