Adam L. Anderson

WEALTHGUARD ADVISORS

Placerville, CA 95667

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CRD#: 2924886

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Leland Anderson's CRS (Customer Relationship Summary).

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

August 22, 2018 - Present

WEALTHGUARD ADVISORS, INC.

Office #1: 496 Main Street, Placerville, CA 95667

RIA

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.

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.

CRD#: 40395

PLACERVILLE, CA

Past

February 10, 2003 - May 7, 2003

NEBS FINANCIAL SERVICES, INC.

CRD#: 103874

CLEVELAND, OH

Past

January 23, 2003 - February 6, 2003

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

August 21, 1997 - January 28, 2003

NEW ENGLAND SECURITIES

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".

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)

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.

Highlighted states indicate IAR registrations

IAR

California
(8/22/2018)

IAR

Texas
(8/22/2018)

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: 9/19/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/6/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2007

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHGUARD ADVISORS ADV PART 2A (1/27/2025)

Regulatory assets under management

Total Number of Accounts	870
AUM (Assets Under Management)	$ 163,551,836

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

Adam L. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Leland Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR POINT ADVISORS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

NEBS FINANCIAL SERVICES, INC.

PENSION PLANNERS SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

WEALTHGUARD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2005

Series 63

Date: 8/6/1997

SIE

Date: 8/21/2018

Series 7

Date: 11/20/2002

Series 6

Date: 8/20/1997

Series 24

Date: 10/8/2007

Current Firm

WEALTHGUARD ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHGUARD ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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