Kevin S. Anthony

GOLDEN YEARS FINANCIAL ADVISORS

South Bend, IN 46614

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CRD#: 1612027

Professional summary

Kevin Scott Anthony is a registered financial advisor currently at GOLDEN YEARS FINANCIAL ADVISORS, INC. located in South Bend, Indiana.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Kevin has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

1.GOLDEN YEARS PLANNING SERVICES, INC.; 300 S. ELKHART STREET, WAKARUSA, IN 46573; INVESTMENT RELATED; SOLE PROPRIETOR/INSURANCE AGENT; STARTED 04/2009; APPROXIMATELY 25% OF TIME IS SPENT IN THIS BUSINESS; THE SALE OF LIFE INSURANCE AND FIXED ANNUITY PRODUCTS. 2. THE SANDERS AGENCY INC.; 614 E IRELAND ROAD SOUTH BEND, IN 46614; NOT-INVESTMENT RELATED; OWNER/PRESIDENT; STARTED 10/2022; APPROXIMATELY 23% OF TIME IS SPENT IN THIS BUSINESS; 30 HOURS/MONTH. ZERO HOURS DURING TRADING. OWNS AND MANAGES EMPLOYEES OF A HEALTH INSURANCE PRACTICE. NOT ENGAGED IN ACTIVE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Scott Anthony'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®

None

Experience

Current

January 8, 2015 - Present

GOLDEN YEARS FINANCIAL ADVISORS, INC.

Office #1: 614 E. Ireland Road, South Bend, IN 46614

RIA

CRD#: 174275

South Bend, IN

Past

April 2, 2013 - December 31, 2014

INDEPENDENCE CAPITAL CO., INC.

RIA

CRD#: 24723

PARMA, OH

Past

June 16, 2011 - December 31, 2014

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

Past

February 18, 2000 - December 31, 2004

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

January 14, 1999 - November 19, 1999

SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962

MISHAWAKA, IN

Past

May 7, 1996 - December 11, 1998

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

April 21, 1992 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 21, 1992 - October 16, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 21, 1987 - July 19, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Indiana
(1/8/2015)

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

IAR

Series 66

Date: 7/6/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2011

General Securities Representative Examination

Current Firm

GOLDEN YEARS FINANCIAL ADVISORS, INC.

CRD#: 174275 / SEC#:

Indiana

Registered Investment Advisory firm - (1/8/2015 Approved)

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Contact information

Main Address

614 E. Ireland Road, South Bend, IN 46614

Mailing Address

Phone number

(574) 968-7926

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Kevin S. Anthony

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Scott Anthony's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

INDEPENDENCE CAPITAL CO., INC.

THE O.N. EQUITY SALES COMPANY

SPECTRUM INVESTMENT SERVICES, INC.

INVESTORS CAPITAL CORP.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/6/2011

Series 63

Date: 1/20/1987

SIE

Date: 12/31/2014

Series 7

Date: 6/15/2011

Current Firm

GOLDEN YEARS FINANCIAL ADVISORS, INC.

Contact information

Documents

Red Flags

Company Information

GOLDEN YEARS FINANCIAL ADVISORS, INC.

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