Kenneth R. Garber

FUND DIRECT ADVISORS

GREENSBORO, NC 27408

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CRD#: 3147523

Professional summary

Kenneth Richard Garber, AIF®, who also goes by Ken Garber, is a registered financial advisor currently at FUND DIRECT ADVISORS INC. located in Greensboro, North Carolina and INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kenneth has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Garber

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.

STANLEY BENEFIT SERVICES, INC. NOT INVESTMENT-RELATED, 300 E. WENDOVER AVE. SUITE 101, GREENSBORO, NC 27401, RETIREMENT PLAN CONSULTANTS,VICE PRES. CLIENT SERVICES,START DATE:FEB.18,2003, DEVOTE 64 HRS./MO.,64 HRS./MO. DURING TRADING HRS.,ADMINISTER PENSION PLANS. INTERCAROLINA FINANCIAL SERVICES, INC.,INVESTMENT-RELATED,3300 BATTLEGROUND AVE.SUITE 400, GREENSBORO, NC 27410,FINRA REGISTERED BROKER-DEALER,REGISTERED REPRESENTATIVE, DEC.21,1998, DEVOTE 16 HRS./MO.,16 HRS./MO.DURING TRADING HRS.,REG.REP.FOR BROKERAGE ACCOUNTS. FUND DIRECT ADVISORS, INC. INVESTMENT RELATED, 7800 MCCLOUD ROAD. SUITE 200, GREENSBORO, NC 27409, SEC REGISTERED INVESTMENT ADVISOR, IA REPRESENTATIVE, APRIL 5,2013, 80 HOURS/MONTH,80 HOURS/MONTH DURING MARKET HOURS

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CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Richard Garber'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 28, 2020 - Present

FUND DIRECT ADVISORS INC.

Office #1: 201 State Street, Greensboro, NC 27408

RIA

CRD#: 155363

GREENSBORO, NC

Current

December 21, 1998 - Present

INTERCAROLINA FINANCIAL SERVICES, INC.

Office #1: 3300 Battleground Ave Suite 400, Greensboro, NC 27410

RIA

CRD#: 19475

Greensboro, NC

Past

January 8, 2014 - December 31, 2019

FUND DIRECT ADVISORS INC.

RIA

CRD#: 155363

GREENSBORO, NC

Past

November 18, 2011 - December 19, 2013

FUND DIRECT ADVISORS INC.

RIA

CRD#: 155363

GREENSBORO, NC

Past

November 22, 2005 - October 25, 2010

INTERCAROLINA FINANCIAL SERVICES, INC.

RIA

CRD#: 19475

GREENSBORO, 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".

FUND DIRECT ADVISORS INC.

FUND DIRECT ADVISORS INC. | STANLEY INVESTMENT ADVISORS INC.

CRD#: 155363 / SEC#: 801-77794

RIA

Registered Investment Advisory firm - (4/5/2013 Approved)

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

North Carolina
(2/3/1999)

IAR

North Carolina
(1/28/2020)

South Carolina
(1/2/2001)

Virginia
(1/3/2001)

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: 3/10/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/18/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FUND DIRECT ADVISORS INC.

FUND DIRECT ADVISORS INC. | STANLEY INVESTMENT ADVISORS INC.

CRD#: 155363 / SEC#: 801-77794

RIA

Registered Investment Advisory firm - (4/5/2013 Approved)

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Contact information

Main Address

201 State Street, Greensboro, NC 27408

Mailing Address

Po Box 18262, Greensboro, NC 27419

Phone number

(336) 271-4450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	160
AUM (Assets Under Management)	$ 605,000,000

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

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Kenneth R. Garber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Richard Garber's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERCAROLINA FINANCIAL SERVICES, INC.

FUND DIRECT ADVISORS INC.

FUND DIRECT ADVISORS INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FUND DIRECT ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2005

Series 63

Date: 2/1/1999

SIE

Date: 10/1/2018

Series 6

Date: 12/18/1998

FINRA

Current Firm

FUND DIRECT ADVISORS INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FUND DIRECT ADVISORS INC.

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