AA
Adam L. Anderson
WEALTHGUARD ADVISORS
Placerville, CA 95667
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CRD#: 2924886
AA
Professional summary
Adam Leland Anderson is a registered financial advisor currently at WEALTHGUARD ADVISORS, INC. located in Placerville, California.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Adam has worked at 8 firms and has passed the Series 66, 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.
FIVE AM MAIN LLC POSITION: owner NATURE: Manage and maintain commercial property INVESTMENT RELATED: No NUMBER OF HOURS: 0 HOURS: 0 START DATE: 05/01/2014 ADDRESS: 496 Main st., Placerville CA 95667 DESCRIPTION: manage and maintain commercial property. Used as a branch office and houses registered reps and employees. MEMBER OF THE BOARD OF DIRECTORS FOR THE EL DORADO COUNTY CHAMBER OF COMMERCE POSITION: board member NATURE: Community Service INVESTMENT RELATED: No NUMBER OF HOURS: 5 to 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: 542 Main St., Placerville CA 95667 DESCRIPTION: Give direction to county business affairs PLACERVILLE ECONOMIC ACTIVITY COMMITTEE POSITION: COMMITTEE MEMBER INVESTMENT RELATED: NO START DATE: 04/2018 2 HOURS/MONTH O HOURS DURING SECURITIES TRADING HOURS ADAM LELAND ANDERSON is an owner at Coloma Lotus Whitewater, LLC; Is the business investment related: No; Location of the business: 6673 Carvers Road Coloma CA 95613; Description of the business: whitewater rafting; Responsibilities Duties: manage activities of rafting business; Start date with business: 2023-08-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 12; Percentage of total yearly compensation expected to be derived from the business: 1. ADAM LELAND ANDERSON is a Board member for Mother Lode Rehabilitation Enterprises, Inc.; Investment related: No; Location: 399 Placerville Drive Placerville CA 95667; Description: Charitable organization to empowering individuals with disabilities to enhance their quality of life; Responsibilities Duties: Attend board meetings; Start date: 2024-05-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0. ADAM LELAND ANDERSON is a Board member for Marshall Foundation for Community Health; Investment related: No; Location: 1124 Sherman Street Placerville CA 95667; Description: Non-profit, community service foundation; Responsibilities Duties: Help direct giving to health related need in the county; Start date with business: 2024-12-31; Hours per month devoted to business during trading hours: 2; Hours per month devoted to business outside trading hours: 3; Percentage of total yearly compensation expected to be derived from the business: 0; Website address for the organization: marshallfound.org.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Leland Anderson'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
August 22, 2018 - Present
WEALTHGUARD ADVISORS, INC.
Office #1: 496 Main Street, Placerville, CA 95667RIA
CRD#: 297192
Placerville, CA
Past
June 8, 2017 - August 21, 2018
ARBOR POINT ADVISORS
RIA
CRD#: 165127
PLACERVILLE, CA
Past
January 23, 2009 - August 21, 2018
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
PLACERVILLE, CA
Past
January 23, 2009 - August 21, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PLACERVILLE, CA
Past
January 30, 2006 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
PLACERVILLE, CA
Past
May 16, 2003 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
PLACERVILLE, CA
Past
February 10, 2003 - May 7, 2003
NEBS FINANCIAL SERVICES, INC.
BD
CRD#: 103874
CLEVELAND, OH
Past
January 23, 2003 - February 6, 2003
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SACRAMENTO, CA
Past
August 21, 1997 - January 28, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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".
WA
WEALTHGUARD ADVISORS, INC.
WEALTHGUARD ADVISORS, INC.
CRD#: 297192 / SEC#: 801-121183
RIA
Registered Investment Advisory firm - (5/7/2021 Approved)Arizona
Registered Investment Advisory firm - (10/11/2019 Terminated)California
Registered Investment Advisory firm - (6/25/2021 Terminated)Nevada
Registered Investment Advisory firm - (7/14/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (5/26/2021 Terminated)Utah
Registered Investment Advisory firm - (6/2/2021 Terminated)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(8/22/2018)
IAR
Texas(8/22/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WA
WEALTHGUARD ADVISORS, INC.
WEALTHGUARD ADVISORS, INC.
CRD#: 297192 / SEC#: 801-121183
RIA
Registered Investment Advisory firm - (5/7/2021 Approved)Arizona
Registered Investment Advisory firm - (10/11/2019 Terminated)California
Registered Investment Advisory firm - (6/25/2021 Terminated)Nevada
Registered Investment Advisory firm - (7/14/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (5/26/2021 Terminated)Utah
Registered Investment Advisory firm - (6/2/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
496 Main Street, Placerville, CA 95667
Mailing Address
Phone number
(530) 621-1111
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 870 |
| AUM (Assets Under Management) | $ 163,551,836 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
