William Michael Kincaid

CRD 2129678 · Northern Trust Investments, Incorporated · Pittsburgh, PA

IA RegisteredBroker

Also appears in the source record as: William James Chopey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 3SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Northern Trust Investments, Incorporated
Firm CRD: 105780
SEC number: 801-33358
Assets under management: $1.2T as of Jun 15, 2026
Website: www.linkedin.com/COMPANY/NORTHERN-TRUST-ASSET-MANAGEMENT ↗
Phone: 312-630-6000
Firm location: Chicago, IL, 60603-1008

Employment history (7)

From the source registration record · current first

Northern Trust Investments, IncorporatedCurrent
Pittsburgh, PA · IA capacity

Aug 22, 2022 → present
Northern Trust Securities, Inc.Current
Pittsburgh, PA · BD capacity

May 20, 2011 → present
Northern Trust Securities, Inc
IA capacity

Aug 22, 2022 → Feb 18, 2025
Bny Convergex Execution Solutions LLC
BD capacity

Jan 28, 2008 → Mar 29, 2011
Mbsc Securities Corporation
BD capacity

Jul 2, 2007 → Dec 17, 2007
Mellon Funds Distributor, L.P.
BD capacity

Aug 11, 2006 → Jul 2, 2007
Walnut Street Securities, Inc.
BD capacity

Apr 10, 1991 → Jan 16, 1992

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2129678 ↗ FINRA BrokerCheck record for CRD 2129678 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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