Bruce A. Kavanaugh

PACER ADVISORS

Malvern, PA 19355

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CRD#: 2063535

Professional summary

Bruce Alan Kavanaugh is a registered financial advisor currently at PACER ADVISORS, INC. located in Malvern, Pennsylvania and PACER FINANCIAL, INC. located in Malvern, Pennsylvania.

Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Bruce has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.

RENTAL PROPERTY / 1820 ASBURY AVENUE, OCEAN CITY, N.J. 08226 / PRIVATE RESIDENCE RENTED DURING SUMMER MONTHS, MAY THROUGH SEPTEMBER / NON-INVESTMENT RELATED / OWNER OF PROPERTY / START DATE - JANUARY 2014 / OWNER & LESSOR / ONE (1) HOUR PER MONTH DEVOTED TO THE BUSINESS / ZERO (0) HOURS DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS / HOLD NO POSITION AS AN OFFICER OR DIRECTOR, ETC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Alan Kavanaugh'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

March 29, 2006 - Present

PACER ADVISORS, INC.

Office #1: 500 Chesterfield Parkway, Malvern, PA 19355

RIA

CRD#: 137381

Malvern, PA

Current

February 24, 2006 - Present

PACER FINANCIAL, INC.

Office #1: 500 Chesterfield Parkway, Malvern, PA 19355Office #2: 500 Chesterfield Parkway, Malvern, PA 19355

CRD#: 137040

Malvern, PA

Past

July 13, 2004 - March 8, 2006

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

December 15, 2003 - July 9, 2004

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

May 15, 2000 - January 16, 2002

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

December 7, 1992 - May 26, 1999

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654

RIA

Registered Investment Advisory firm - (4/30/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/16/2014 Terminated)

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).

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.

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

Alabama
(5/16/2006)

Arizona
(6/19/2006)

Connecticut
(5/16/2006)

Delaware
(6/21/2006)

District of Columbia
(5/25/2006)

Florida
(6/16/2006)

Georgia
(5/18/2006)

Louisiana
(5/5/2006)

Maryland
(5/9/2006)

Massachusetts
(4/28/2006)

Mississippi
(5/23/2006)

New Jersey
(6/1/2006)

New York
(6/26/2006)

North Carolina
(4/27/2006)

Pennsylvania
(3/24/2006)

IAR

Pennsylvania
(3/29/2006)

Rhode Island
(4/27/2006)

South Carolina
(5/15/2006)

Texas
(5/10/2006)

Virginia
(5/2/2006)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/9/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654

RIA

Registered Investment Advisory firm - (4/30/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/16/2014 Terminated)

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Contact information

Main Address

500 Chesterfield Parkway, Malvern, PA 19355

Mailing Address

Phone number

(855) 780-8100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 46,063,913,101

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Bruce A. Kavanaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Alan Kavanaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACER FINANCIAL, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

WOODBURY FINANCIAL SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

PACER ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2006

Series 63

Date: 12/16/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/5/2004

Series 6

Date: 12/1/1992

Series 24

Date: 5/1/2012

FINRA

Current Firm

PACER ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

PACER ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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