SS
Shannon A. Soefje
Some features on this profile are disabled
CRD#: 1257380
SS
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.
Shannon Ann Soefje, who also goes by S Bower, Shannon Bower, S Huston, Shannon Huston, Shannon Ann Lehenbauer, Shannon Soefie, S Soefje, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1984. Shannon had worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 5, Series 7, Series 26, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
S Bower | Shannon Bower | S Huston | Shannon Huston | Shannon Ann Lehenbauer | Shannon Soefie | S Soefje
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.
***K2C PEO POSITION: Employee NATURE: Beginning 12.07.19, Navigation Financial Advisors, Inc. DBA Navigation Financial Group selected Key2Cash, LLC dba K2C PEO that is wholly owned by LL Roberts Group as their new Professional Employer Organization (PEO). See www.llroberts.com for additional information regarding their services. Navigation Financial Group and K2C PEO are my co-employers. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2019 ADDRESS: 12225 Greenville Avenue, Suite 300, Dallas TX 75243 DESCRIPTION: Navigation Financial Group and K2C PEO are my co-employers. I am the Director of Operations for Navigation Financial Group and my Representative level with SAI is Principal Support. ***ROBSON RANCH REPUBLICAN CLUB POSITION: Club Member NATURE: Robson Ranch Republican Club INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/20/2021 ADDRESS: 9428 Ed Robson Circle, Denton TX 76207 DESCRIPTION: Club Member ***SAA POSITION: Registered Investment Advisory Representative NATURE: Registered Investment Advisor Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 10/21/2004 ADDRESS: 12805 Pumice Lane, Denton TX 76207 DESCRIPTION: Acting Principal for OSJ Manager, Clyde W. Wyatt III. ***NAVIGATION FINANCIAL GROUP POSITION: Director of Operations NATURE: Navigation Financial Advisors, Inc. DBA Navigation Financial Group INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2006 ADDRESS: 12805 Pumice Lane, Denton TX 76207 DESCRIPTION: Operational and supervisory support.
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®
NoneExperience
Past
October 21, 2004 - June 30, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DALLAS, TX
Past
October 15, 2004 - June 30, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Denton, TX
Past
January 2, 2004 - July 14, 2004
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
October 26, 2001 - July 11, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
January 9, 1991 - September 2, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
August 7, 1990 - December 14, 1990
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
BD
CRD#: 23616
Past
May 31, 1989 - December 14, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
May 18, 1988 - May 23, 1989
FINSER INVESTMENT COMPANY
BD
CRD#: 14981
Past
February 24, 1986 - June 30, 1987
UNITED SECURITIES BROKERS, INC.
BD
CRD#: 16884
Past
September 11, 1984 - January 14, 1985
WALL STREET ACCESS
BD
CRD#: 10012
Past
April 18, 1984 - July 20, 1984
ANDERSON, BRYANT & CO.
BD
CRD#: 13185
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 5
Date: 5/27/1986
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
