MS
Michael D. Shannon
NEWPORT GROUP CONSULTING
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 1314743
MS
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Applicant is associated with Newport Group Consulting, and Ascensus Broker Dealer Services, LLC, all affiliated member firms. This association is part of the Applicant's full-time execution of his job responsibilities. Through the affiliated companies, applicant may offer insurance services.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Douglas Shannon's CRS (Customer Relationship Summary).
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
Current
January 29, 2018 - Present
NEWPORT GROUP CONSULTING, LLC
Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746RIA
CRD#: 140944
Lake Mary, FL
Current
March 1, 2023 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746BD
CRD#: 36478
Lake Mary, FL
Past
November 2, 2001 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
RIA
CRD#: 29722
Lake Mary, FL
Past
December 5, 1995 - September 6, 2023
NEWPORT GROUP SECURITIES, INC.
BD
CRD#: 29722
Lake Mary, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NG
NEWPORT GROUP CONSULTING, LLC
INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP
CRD#: 140944 / SEC#: 801-66908
RIA
Registered Investment Advisory firm - (6/20/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/1/2023)
RR
Alaska(3/1/2023)
RR
Arizona(3/1/2023)
RR
Arkansas(3/1/2023)
RR
California(3/1/2023)
RR
Colorado(3/1/2023)
RR
Connecticut(3/1/2023)
RR
Delaware(3/1/2023)
RR
District of Columbia(3/1/2023)
IAR
Florida(1/29/2018)
RR
Florida(3/1/2023)
RR
Georgia(3/1/2023)
RR
Hawaii(3/1/2023)
RR
Idaho(3/1/2023)
RR
Illinois(3/1/2023)
RR
Indiana(3/1/2023)
RR
Iowa(3/1/2023)
RR
Kansas(3/1/2023)
RR
Kentucky(3/1/2023)
RR
Louisiana(3/1/2023)
RR
Maine(3/1/2023)
RR
Maryland(3/1/2023)
RR
Massachusetts(3/1/2023)
RR
Michigan(3/1/2023)
RR
Minnesota(3/1/2023)
RR
Mississippi(3/1/2023)
RR
Missouri(3/1/2023)
RR
Montana(3/1/2023)
RR
Nebraska(3/1/2023)
RR
Nevada(3/1/2023)
RR
New Hampshire(3/1/2023)
RR
New Jersey(3/1/2023)
RR
New Mexico(3/1/2023)
RR
New York(3/1/2023)
RR
North Carolina(3/1/2023)
RR
North Dakota(3/1/2023)
RR
Ohio(3/2/2023)
RR
Oklahoma(3/1/2023)
RR
Oregon(3/1/2023)
RR
Pennsylvania(3/1/2023)
RR
Rhode Island(3/1/2023)
RR
South Carolina(3/1/2023)
RR
South Dakota(3/1/2023)
RR
Tennessee(3/1/2023)
RR
Texas(3/1/2023)
RR
Utah(3/1/2023)
RR
Vermont(3/1/2023)
RR
Virginia(3/1/2023)
RR
Washington(3/1/2023)
RR
West Virginia(3/1/2023)
RR
Wisconsin(3/1/2023)
RR
Wyoming(3/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NG
NEWPORT GROUP CONSULTING, LLC
INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP
CRD#: 140944 / SEC#: 801-66908
RIA
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Contact information
Main Address
300 Primera Blvd. Suite 200, Lake Mary, FL 32746
Mailing Address
Phone number
(407) 333-2905
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,858 |
| AUM (Assets Under Management) | $ 4,397,492,520 |
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.
