Kevin P. Vaillancourt

SAFEGUARD SECURITIES

Cleveland, OH 44124

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CRD#: 2947318

Professional summary

Kevin Patrick Vaillancourt is a registered financial advisor currently at SAFEGUARD SECURITIES, INC. located in Cleveland, Ohio and ANCORA PRIVATE WEALTH ADVISORS, LLC located in Cleveland, Ohio.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 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 Kevin Patrick Vaillancourt'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

March 4, 2024 - Present

SAFEGUARD SECURITIES, INC.

Office #1: 6060 Parkland Suite 200, Cleveland, OH 44124

RIA

CRD#: 31256

Cleveland, OH

Current

May 11, 2026 - Present

ANCORA PRIVATE WEALTH ADVISORS, LLC

Office #1: 6060 Parkland Boulevard Suite 200, Cleveland, OH 44124

RIA

CRD#: 124845

Cleveland, OH

Current

March 31, 2020 - Present

INVERNESS SECURITIES, LLC

Office #1: 6060 Parkland Blvd Ste 200, Cleveland, OH 44124

CRD#: 129914

Cleveland, OH

Past

December 19, 2018 - February 3, 2020

CBIZ INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 286002

CLEVELAND, OH

Past

November 28, 2017 - December 31, 2018

SEQUOIA FINANCIAL GROUP, L.L.C.

RIA

CRD#: 117756

AKRON, OH

Past

December 2, 2016 - April 28, 2017

RESOURCE SECURITIES LLC

CRD#: 133022

PHILADELPHIA, PA

Past

January 28, 1999 - January 11, 2016

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

August 12, 1998 - January 21, 1999

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

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".

ANCORA PRIVATE WEALTH ADVISORS, LLC

CRD#: 124845 / SEC#: 801-61942

RIA

Registered Investment Advisory firm - (4/3/2003 Approved)

Ohio

Registered Investment Advisory firm - (4/3/2003 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

Ohio
(3/31/2020)

IAR

Ohio
(3/4/2024)

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

Series 63

Date: 8/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ANCORA PRIVATE WEALTH ADVISORS, LLC

CRD#: 124845 / SEC#: 801-61942

RIA

Registered Investment Advisory firm - (4/3/2003 Approved)

Ohio

Registered Investment Advisory firm - (4/3/2003 Terminated)

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Contact information

Main Address

6060 Parkland Boulevard Suite 200, Cleveland, OH 44124

Mailing Address

Phone number

(216) 825-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCORA PRIVATE WEALTH ADVISORS LLC FORM ADV PART 2A DTD 12-31-2024 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	4,083
AUM (Assets Under Management)	$ 3,213,280,712

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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Advisor Monitoring

Firm Stability Insights

Kevin P. Vaillancourt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Vaillancourt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANCORA PRIVATE WEALTH ADVISORS, LLC

INVERNESS SECURITIES, LLC

CBIZ INVESTMENT ADVISORY SERVICES, LLC

SEQUOIA FINANCIAL GROUP, L.L.C.

RESOURCE SECURITIES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ANCORA PRIVATE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1998

SIE

Date: 4/28/2017

Series 7

Date: 8/26/2013

Series 6

Date: 8/11/1998

FINRA

Current Firm

ANCORA PRIVATE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCORA PRIVATE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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