John D. Cocke

KAIROS ASSET ADVISORY

Mobile, AL 36604

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CRD#: 3111108

Professional summary

John Dillard Cocke IV, who also goes by John Dillard Cocke, is a registered financial advisor currently at KAIROS ASSET ADVISORY, LLC located in Mobile, Alabama.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Dillard Cocke

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 John Dillard Cocke IV'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®

None

Experience

Current

September 17, 2010 - Present

KAIROS ASSET ADVISORY, LLC

Office #1: 1055 Dauphin Street, Mobile, AL 36604

RIA

CRD#: 153218

Mobile, AL

Past

September 17, 2010 - December 31, 2018

KAIROS ASSET ADVISORY, LLC

RIA

CRD#: 153218

MOBILE, AL

Past

November 12, 2008 - June 12, 2009

SECURITIES NETWORK LLC

CRD#: 133785

NORCROSS, GA

Past

April 23, 2008 - December 31, 2010

KAIROS ASSET MANAGEMENT, LLC

RIA

CRD#: 130878

ATLANTA, GA

Past

August 9, 2005 - August 23, 2006

TETON INVESTMENT PARTNERS, LLC

CRD#: 122569

ATLANTA, GA

Past

February 11, 2002 - March 9, 2004

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

October 30, 2000 - August 22, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 18, 1999 - October 30, 2000

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

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

Alabama
(9/17/2010)

IAR

Louisiana
(6/23/2021)

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: 6/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1999

General Securities Representative Examination

Current Firm

KAIROS ASSET ADVISORY, LLC

CRD#: 153218 / SEC#:

Alabama

Registered Investment Advisory firm - (9/16/2010 Approved)

Georgia

Registered Investment Advisory firm - (12/31/2018 Failure to Renew)

Louisiana

Registered Investment Advisory firm - (6/23/2021 Approved)

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Contact information

Main Address

1055 Dauphin Street, Mobile, AL 36604

Mailing Address

1055 Dauphin Street, Mobile, AL 36604

Phone number

(404) 840-7595

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	53
AUM (Assets Under Management)	$ 18,608,057

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.

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John D. Cocke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dillard Cocke IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAIROS ASSET ADVISORY, LLC

KAIROS ASSET ADVISORY, LLC

SECURITIES NETWORK LLC

KAIROS ASSET MANAGEMENT, LLC

TETON INVESTMENT PARTNERS, LLC

AMSOUTH INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/2007

Series 63

Date: 10/20/2000

Series 7

Date: 8/17/1999

Current Firm

KAIROS ASSET ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KAIROS ASSET ADVISORY, LLC

TRUST BUT VERIFY

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