VS
Vance A. Syphers
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CRD#: 441612
VS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vance Ansel Syphers was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 1971. Vance had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
WEALTH PRESERVATION 3/22/2005 - I SPEND APROX. 5 HOUR A WEEK PROVIDING INVESTMENT ADVISORY SERVICES TO HIGH NET WORTH INDIVIDUALS AND COMPANIES
NEW ERA FINANCIAL PLANNERS (1983)- LIFE AND HEALTH INS, APPROX 24 HOURS A WEEK, 100% OWNERSHIP. INVESTMENT RELATED
FALLEN TIMBER- REAL ESTATE OWNER- 99% OWNER, APPROX 1 HOUR MONTH, NOT INVESTMENT RELATED
HICKORY KNOB- HOLDING CO. FOR PERSONAL ASSETS- 99% OWNER- 1 HOUR MONTH, NOT INVESTMENT RELATED
GREENLEAF ENERGY- ON BOARD OF DIRECTORS, ONE MEETING A YEAR, 9% OWNERSHIP, NOT INVESTMENT RELATED
BROAD REACH RISK MANAGEMENT LLC, CAPTIVE INSURANCE COMPANY MANAGER, 95% OWNER, 5% OF MY TIME, NOT INVESTMENT RELATED, 2019 START DATE
BROAD REACH CAPITAL LLC, NO BUSINESS PURPOSE, 95% OWNER, NOT INVESTMENT RELATED, 2017 START DATE
BROAD REACH PARTNERS LLC, MANAGEMENT SERVICES, 95% OWNER, NOT INVESTMENT RELATED, 2019 START DATE
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 21, 2007 - October 25, 2023
BROAD REACH CAPITAL LLC
RIA
CRD#: 144686
DURHAM, NC
Past
July 17, 2007 - February 17, 2020
QUANTUM CAPITAL, LLC
BD
CRD#: 143530
DURHAM, NC
Past
March 22, 2006 - April 30, 2007
CATO CAPITAL, LLC
BD
CRD#: 133142
NEW YORK, NY
Past
April 14, 1983 - December 20, 1989
BROAD REACH CAPITAL, INC.
BD
CRD#: 10045
Past
March 3, 1982 - April 20, 1983
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
August 15, 1972 - November 15, 1981
OSAIC FS, INC.
BD
CRD#: 3870
Past
December 7, 1971 - September 16, 1972
PIEDMONT CAPITAL CORPORATION
BD
CRD#: 711
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".
BR
BROAD REACH CAPITAL LLC
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
CRD#: 144686 / SEC#: 801-130959
RIA
Registered Investment Advisory firm - (8/21/2024 Approved)Connecticut
Registered Investment Advisory firm - (1/10/2017 Terminated)Florida
Registered Investment Advisory firm - (12/13/2017 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (12/3/2013 Terminated)Maryland
Registered Investment Advisory firm - (2/27/2014 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)Mississippi
Registered Investment Advisory firm - (12/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/28/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/14/2017 Terminated)South Carolina
Registered Investment Advisory firm - (12/13/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/25/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
BR
BROAD REACH CAPITAL LLC
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
CRD#: 144686 / SEC#: 801-130959
RIA
Registered Investment Advisory firm - (8/21/2024 Approved)Connecticut
Registered Investment Advisory firm - (1/10/2017 Terminated)Florida
Registered Investment Advisory firm - (12/13/2017 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (12/3/2013 Terminated)Maryland
Registered Investment Advisory firm - (2/27/2014 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)Mississippi
Registered Investment Advisory firm - (12/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/28/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/14/2017 Terminated)South Carolina
Registered Investment Advisory firm - (12/13/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1101 Haynes St Suite 213, Raleigh, NC 27604
Mailing Address
Phone number
(919) 309-9325
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 125,952,819 |
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.
