Pettus A. Kincannon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Pettus Andrew Kincannon, who also goes by Pettus Andrew Kincannon, was a registered financial professional .
Pettus is a previously registered financial professional and started their career in finance in 1980. Pettus had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2010 - June 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
March 10, 2010 - June 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
May 4, 2005 - October 27, 2008
BEALL BARCLAY ADVISORS, LLC
September 9, 2002 - October 19, 2009
1ST GLOBAL ADVISORS INC
September 9, 2002 - October 19, 2009
1ST GLOBAL CAPITAL CORP.
July 21, 1999 - October 1, 2002
A. G. EDWARDS & SONS, INC.
March 17, 1989 - October 1, 2002
A. G. EDWARDS & SONS, INC.
November 23, 1987 - April 3, 1989
T. J. RANEY & SONS, INC.
September 1, 1981 - December 7, 1987
LEHMAN BROTHERS INC.
November 24, 1980 - August 27, 1981
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/14/1983
Foreign Currency Options ExaminationSeries 8
Date: 8/9/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
