Kenneth B. Fanchier

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CRD#: 7230261

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.

Kenneth Brock Fanchier, who also goes by Kenneth Fanchier, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 2021. Kenneth had worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth Fanchier

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.

American Tax and Financial Planners; non-investment, Colorado Springs, CO; tax and non-investment planning beginning 03/2021; assistant/research associate; over 20 hours per month mostly during trading hours; helping research required items for clientele and data entry. US Army National Guard, non-investment, Tompkinsville, KY; Field Artillery Officer, 1 weekend per month, 2 weeks per year beginning 05/2020; requires approximately 20 hours per month, not during trading hours, manpower and equipment management and deployment.

Blog Corner

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®

None

Experience

Past

April 1, 2021 - August 23, 2022

INVESTMENT ADVISOR GROUP

RIA

CRD#: 312448

Brentwood, TN

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".

INVESTMENT ADVISOR GROUP

CRD#: 312448 / SEC#: 801-120292

RIA

Registered Investment Advisory firm - (2/8/2021 Approved)

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.

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

IAR

Series 65

Date: 2/25/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/28/2020

Securities Industry Essentials Examination

Current Firm

INVESTMENT ADVISOR GROUP

CRD#: 312448 / SEC#: 801-120292

RIA

Registered Investment Advisory firm - (2/8/2021 Approved)

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Contact information

Main Address

Hancock, NY

Mailing Address

Po Box 568, Hancock, NY 13783

Phone number

(607) 930-4338

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FROM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	259
AUM (Assets Under Management)	$ 72,280,174

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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Kenneth B. Fanchier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT ADVISOR GROUP

Primary Firm SEC Registration

INVESTMENT ADVISOR GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2021

SIE

Date: 5/28/2020

Current Firm

INVESTMENT ADVISOR GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT ADVISOR GROUP

TRUST BUT VERIFY

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