Safeguard Securities, Inc. is a large advisory firm based in Cleveland. It manages $398.34 million of regulatory assets for 136 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Ohio and Texas.
Safeguard Securities provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Safeguard Securities, Inc. is $398.34 million. The firm's AUM has grown by 810% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Safeguard Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to investment companies, high net worth individuals, corporations or other businesses, and state or municipal government entities. The largest group of clients of Kevin Owen Conway is corporations or other businesses with 119 clients and $382.9 million of assets under management. Among the 7 most similar advisory firms, Safeguard Securities has the highest percentage of corporations or other businesses out of all clients.
The amount of regulatory assets under management is $393.26 million for 131 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Safeguard Securities doesn't advise any private funds.
The company employs 7 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Kevin Owen Conway has been acting as President since 1 Jun 2005. Jason P Geers joined the executive team most recently as the Chief Compliance Officer.
The principal office where Safeguard Securities, Inc. performs its advisory services is located at 6060 Parkland, Cleveland, OH 44124, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 216-593-5090 or by fax 216-593-5091. The normal business hours are 9:00-5:00 on Monday - Friday.