Stephen P. Kiernan

ANCHOR FINANCIAL GROUP

Brea, CA 92821

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CRD#: 1527372

Professional summary

Stephen Paul Kiernan, CFP® is a registered financial advisor currently at ANCHOR FINANCIAL GROUP located in Brea, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Kiernan'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

May 1, 2012 - Present

ANCHOR FINANCIAL GROUP

Office #1: 500 S. Kraemer Blvd Suite 255, Brea, CA 92821

RIA

CRD#: 111801

Brea, CA

Past

March 30, 2012 - January 9, 2017

NPB FINANCIAL GROUP, LLC

CRD#: 137743

Brea, CA

Past

February 29, 1992 - March 29, 2012

PACIFIC FINANCIAL ASSOCIATES, INC.

CRD#: 23772

SANTA ANA, CA

Past

July 23, 1986 - March 17, 1992

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

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

California
(5/1/2012)

IAR

Texas
(3/27/2023)

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

Series 63

Date: 9/24/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/4/1987

General Securities Principal Examination

Current Firm

ANCHOR FINANCIAL GROUP

ANCHOR FINANCIAL GROUP | ENHANCED SECURITY PLANNING, INC.

CRD#: 111801 / SEC#: 801-33340

RIA

Registered Investment Advisory firm - (7/13/2012 Terminated)

California

Registered Investment Advisory firm - (6/20/2012 Approved)

Texas

Registered Investment Advisory firm - (10/13/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

500 S. Kraemer Blvd Suite 255, Brea, CA 92821

Mailing Address

Phone number

(714) 264-3538

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	126
AUM (Assets Under Management)	$ 102,351,684

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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Stephen P. Kiernan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Kiernan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANCHOR FINANCIAL GROUP

NPB FINANCIAL GROUP, LLC

PACIFIC FINANCIAL ASSOCIATES, INC.

ASSOCIATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/24/1996

SIE

Date: 1/9/2017

Series 7

Date: 7/19/1986

Series 24

Date: 12/4/1987

Current Firm

ANCHOR FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANCHOR FINANCIAL GROUP

TRUST BUT VERIFY

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