AF
Anita L. Faulkner
SYCAMORE FINANCIAL GROUP
Kokomo, IN 46902-4058
Some features on this profile are disabled
CRD#: 1575683
AF
Professional summary
Anita Lynn Faulkner is a registered financial professional currently at SYCAMORE FINANCIAL GROUP located in Kokomo, Indiana.
Anita is registered as a RR (Registered Representative) and started their career in finance in 1998. Anita has worked at 1 firm and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Anita Lynn Faulkner'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®
NoneExperience
Current
June 24, 1987 - Present
SYCAMORE FINANCIAL GROUP
Office #1: 2713 Rockford Lane, Kokomo, IN 46902-4058RIA
BD
CRD#: 14143
Kokomo, IN
Past
December 16, 1998 - January 10, 2020
SYCAMORE FINANCIAL GROUP
RIA
CRD#: 14143
KOKOMO, IN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/16/2019)
RR
Colorado(11/16/2019)
RR
Florida(11/16/2019)
RR
Georgia(11/16/2019)
RR
Hawaii(11/16/2019)
RR
Illinois(11/16/2019)
RR
Indiana(6/24/1987)
RR
Kansas(11/16/2019)
RR
Kentucky(11/16/2019)
RR
Michigan(11/16/2019)
RR
Nebraska(11/16/2019)
RR
New Mexico(11/16/2019)
RR
North Carolina(11/16/2019)
RR
Ohio(11/17/2019)
RR
Pennsylvania(11/16/2019)
RR
South Carolina(11/16/2019)
RR
Texas(11/16/2019)
RR
Virginia(11/16/2019)
RR
Wisconsin(11/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2713 Rockford Lane, Kokomo, IN 46902
Mailing Address
2713 Rockford Lane, Kokomo, IN 46902
Phone number
(765) 455-1554
Established
Indiana since 07/23/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4
SEC notice filing (8 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,937 |
| AUM (Assets Under Management) | $ 681,079,389 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
