Marcus Dale Kindley

Intercarolina Financial Services, INC.

44 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Intercarolina Financial Services, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

17 advisors

Number of Clients

381 clients

Average Client Portfolio

$343K average

Assets Under Management

$130.8M

Fee Structure

Financial Planning:Investment management only

Location

203-A East Jackson Ave, Vinton, VA, 24179

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

December 2015

Settled

Customer Dispute

April 1997

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Intercarolina Financial Services, INC.

March 2016 - Present · 9 yrs 11 mos

Intercarolina Financial Services, INC.Broker

July 1987 - Present · 38 yrs 7 mos

Previous Registrations

Global Investor Securities, INC.Broker

August 1986 - May 1987 · 9 mos

Wheat, First Securities, INC.Broker

June 1985 - August 1986 · 1 yr 2 mos

Independence Securities, INC.Broker

June 1981 - July 1985 · 4 yrs 1 mo

State Registrations5 states

CAFLKYNCSC

AdvisorBrokerBoth

Exams

No exam information available for this advisor.