Ken Anderson, CLU®, ChFC®

SENIOR FINANCIAL ADVISOR

336.279.2516

[email protected]

Kenneth D. Anderson, CLU®, ChFC®, Investment Advisor Representative, has been involved in the financial services industry since 1985. He graduated with a Bachelor's Degree in Business from the University of North Carolina at Chapel Hill. While attending UNC-CH, he played Varsity baseball for three years, including the 1983 ACC Championship team, in which he was recognized as the team's Most Dedicated Player.

Ken has dedicated his career to furnishing a broad range of products and services. Thorough and innovative, he helps meet the needs of high net worth individuals, successful professionals, business owners, and retirees. Ken specializes in retirement planning, investment management, and estate planning.

His extensive background and knowledge in the financial, estate and retirement planning fields allow Ken to provide outstanding service to his clients. He holds the designations of Chartered Life Underwriter (CLU®) and Chartered Financial Consultant (ChFC®).

During his career in the financial industry, Ken has made a commitment to hard work and long hours. Through consistent effort, and a reputation for outstanding service, he has built a solid client base and expanded his business through referrals from satisfied clients and other professionals. He is a qualifying member of the prestigious Million Dollar Round Table and holds memberships with the National Association of Security Dealers and the Society of Financial Service Professionals. Before merging with Gate City Advisors, Ken was the the managing partner of Executive Financial, LLC for over 30 years.

Ken is involved in the community with various civic and church-related activities. Exercise, reading, and family take up his leisure time.

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Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Gate City Advisors is not affiliated with Kestra IS or Kestra AS.

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Client Bill of Rights

Quality Service from Competent Advisors

You are entitle to a high level of proactive, courteous service from all associates at Gate City Advisors, LLC. You have the right to work with a trustworthy, dependable and independent wealth advisory team focused on your financial goals. Your wealth advisor will develop a personal relationship with you.

Timely Communication and Education

You have the right to receive communications in a timely manner. Our goal is to provide you with information before the question arises. You have the right to continual education delivered by our wealth advisory team during the development and monitoring of your personal wealth plan.

Recommendations Based on Your Needs

You have the right to know your Risk Number™ and how much risk your portfolio contains. You will receive independent, unbiased recommendations based on your defined needs, preferred risk tolerance and financial goals. You have the right to know if you are on track to a successful financial outcome.

Best Execution

You have the right to receive best execution in all that we do. Portfolio transactions will be executed in a timely manner, with prompt third-party confirmation. All interactions with the Gate City Advisors operations team will be timely, precise and prompt.

Confidentiality

You the the right to the strictest levels of confidentiality when you provide information to your Gate City Advisors team. Gate City Advisors will protect your information to the highest standards outlined by the SEC, FINRA, and state and regulatory agencies.

Accurate Reporting

You have the right to accurate third-party reporting of all managed accounts. Your statements will identify all account positions held, cash receipts and disbursements made through Gate City Advisors.

Transparency

You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions and advisory services. All communications with the Gate City Advisors team strive to be clear and concise. If you have a question, it is our duty to answer it in an understandable way.

Client Responsibilities

Reciprocal trust, courtesy and respect are the hallmarks of the advisor-client relationship. Within that relationship, the client looks to the advisor for education, guidance and advocacy. The advisor can only meet these expectations if the client also fulfills his or her responsibilities. Clients are expected to

Treat the advisor and staff with courtesy and consideration.

Communicate candidly, apprise advisor of all facts or circumstances and fully disclose financial information material to account management.

Honor the agreed-upon fee arrangement.

Pay promptly all bills for services rendered

Fulfil financial commitments, as stated in the client agreement, before withdrawing from the advisor-client relationship.

Acknowledge that the advisor is governed by the rules set forth by the SEC, FINRA and other regulatory bodies.

Return all phone calls, emails and correspondence in a timely fashion.

Provide at least 24 hours' notice if unable to attend a meeting.

Notify the advisor of any change in telephone number or address and respond promptly to a request by the advisor for information and cooperation