How We Work:

Client Requirements We’re small for one reason: to exceed your expectations. We limit the number of our clients while providing direct advice and management from senior advisors. Most, but certainly not all, of our clients have a five-year investment time horizon.

Refer a Friend

If you are currently a Googins and Anton client and would like to refer a friend, family member, or business associate, contact us at (608) 836-3229 or by email: info@googinsandanton.com

Legal Disclosure

As investment advisors, our documentation is available on request, including:

Contact us to request copies of our documentation.

Googins & Anton, Inc. has a Business Continuity Plan (BCP) in place to prepare for the possibility of a future significant business disruption (SBD). A SBD may range in severity from a firm only disruption, such as a fire or a power outage, to a regional disruption, such as a natural disaster or a terrorist attack.

In the event of a firm only disruption, Googins & Anton, Inc. has a functional offsite facility locally providing an alternative location from which we can reasonably operate under such a SBD. This facility contains duplicate equipment and telecommunications services, and space for staff to perform critical business functions. Googins & Anton, Inc. expects to be able to resume business within four hours of this type of event. Clients would continue to be able to contact us by phone at (608) 836-3229. Other numbers to call in case the above number is not working are: (608) 843-8350, (608) 513-1551.

If a larger scale disruption occurs, such as a citywide or regional disruption, Googins & Anton, Inc. will re-establish operations at another site. Googins & Anton, Inc. recovery time frame will depend on the severity and significance of the event.

Googins & Anton, Inc. maintains a relationship with Saxony Securities as well as many mutual fund companies. We fully introduce your accounts to either Saxony Securities or the custodian of the mutual fund company. They, in turn, maintain your account and settle your transactions on your behalf. In the event that you are unable to contact Googins & Anton, Inc. due to an SBD, Saxony Securities may be contacted directly at (314) 963-9336 to process limited trade-related transactions, cash disbursements and security transfers if your account is held there. If your account is held at the mutual fund company, you may call the mutual fund company directly. Please use the number on your statement.

Googins & Anton, Inc.’s Business Continuity Disclosure Statement is subject to modification. Changes to our plan and any updates will be promptly posted to our website: googins.com. Clients may alternatively obtain updated summaries by requesting a written copy by mail.

Privacy Policy

We never sell, rent, nor give away personal information, names or lists to anyone.

Googins & Anton, Inc. gathers personal information only to complete applications and keep accurate records of your investments. This information is only available to the companies through which you have accounts and the securities regulators who routinely audit investment firms.

Googins & Anton, Inc. safeguards your information from theft or misuse. Googins & Anton, Inc. will follow this policy even if you close your account or become an inactive client.

Googins & Anton, Inc. will inform you of any changes to this policy in writing. If we ever change our policy to allow us to sell your name, we will first provide simple instructions to opt out if you wish to exclude your name and personal information from being distributed.

Customer Identity Verification Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We also ask to see your driver’s license or other identifying documents.