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 INVERNESS SECURITIES, 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 7 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.

1. Ancora Retirement Plan Advisors (ARPA) - Investment-related; 6060 Parkland Blvd, Suite 200, Mayfield Heights, Ohio 44124; Director; 90 hours/month; 2/2020 2. Ancora Family Wealth Advisors (AFWA) - Investment-related; 6060 Parkland Blvd, Suite 200, Mayfield Heights, Ohio 44124; Director (retirement plan advisors); 20 hours/month; 2/2020 3. Ancora Advisors - Investment-related; 6060 Parkland Blvd, Suite 200, Mayfield Heights, Ohio 44124; Director (retirement plan advisors); 20 hours/month; 2/2020 4. Vail Resorts - Not investment related; Boston Mills - 7100 Riverview Rd, Peninsula, OH 44264; seasonal ski instructor; 20 hours/month; 12/2024

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

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".

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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Contact information

Main Address

6060 Parkland Suite 200, Cleveland, OH 44124

Mailing Address

Phone number

(216) 593-5090

Established

Pennsylvania since 06/22/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCORA RETIREMENT PLAN ADVISORS LLC 12.31.24 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
SOURCE COMPANIES LLC	PARENT COMPANY
KUHR, DAVID WILLIAM	CCO, MUNICIPAL PRINCIPAL	2317114
MOONEY, PETER LAWRENCE	PRESIDENT, PRINCIPAL	2365429
ZUCKER, BRADLEY ALAN	FINOP	4458446

Regulatory assets under management

Total Number of Accounts	157
AUM (Assets Under Management)	$ 1,305,499,514

Disclosures

Regulatory Event

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

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

SAFEGUARD SECURITIES, INC.

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

SAFEGUARD SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SAFEGUARD SECURITIES, INC.

TRUST BUT VERIFY

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