Anthony A. Saccaro

PROVIDENCE FINANCIAL AND INSURANCES

WOODLAND HILLS, CA 91367

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CRD#: 5230816

Professional summary

Anthony Alan Saccaro, ChFC®, who also goes by Tony Saccaro, is a registered financial advisor currently at PROVIDENCE FINANCIAL AND INSURANCES, INC. located in Woodland Hills, California.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Anthony has worked at 2 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Saccaro

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 Anthony Alan Saccaro'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

November 9, 2011 - Present

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Office #1: 6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

RIA

CRD#: 141988

WOODLAND HILLS, CA

Past

November 1, 2007 - February 19, 2008

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WOODLAND HILLS, CA

Past

October 29, 2007 - February 19, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WOODLAND HILLS, CA

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".

PROVIDENCE FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 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
(11/9/2011)

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

Series 63

Date: 10/10/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/8/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 10/26/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 Terminated)

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Contact information

Main Address

6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 887-6443

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

PFIS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,362
AUM (Assets Under Management)	$ 189,507,150

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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Anthony A. Saccaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Alan Saccaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENCE FINANCIAL AND INSURANCES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

PROVIDENCE FINANCIAL AND INSURANCES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/2007

Series 65

Date: 9/8/2006

Series 6

Date: 10/26/2007

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE FINANCIAL AND INSURANCES, INC.

TRUST BUT VERIFY

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