Michael Douglas Shannon
Professional Summary
Michael Douglas Shannon is a registered financial advisor currently at NEWPORT GROUP CONSULTING, LLC located in Lake Mary, Florida and ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP
Contact Information
Main Address
300 Primera Blvd. Suite 200, Lake Mary, FL 32746Phone Number
(407) 333-2905# of Employees
31SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,768AUM (Assets Under Management)
$5,051,048,817Similar Advisors
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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.
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Primary Firm SEC Registration
INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2011About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Douglas Shannon's CRS (Customer Relationship Summary).
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