Robert W. Shannon

BRAZOS WEALTH ADVISORS LLC

FORT WORTH, TX 76107

CRD#: 1673397

Professional summary

Robert Wesley Shannon, CFP®, who also goes by Wes Shannon, is a registered financial advisor currently at BRAZOS WEALTH ADVISORS LLC located in Fort Worth, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Business Succession Planning

Insurance Planning

Retirement Planning

Employee and Employer Plan Ben...

Estate Planning

Investment Planning

Comprehensive Financial Planni...

Do you have an area of expertise or specialization?

Baby Boomers

Business Owners

College/Education Planning

Corporate Executives

Divorce Planning

Entrepreneurs

Are you a "fiduciary"?

Yes

Aliases

Wes Shannon

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.

1.) Independent Insurance Agent; Investment Related; Iowa Park, TX

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wesley Shannon's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

April 15, 2024 - Present

BRAZOS WEALTH ADVISORS LLC

Office #1: 2833 Crockett St. Ste.102, Fort Worth, TX 76107

RIA

CRD#: 323508

FORT WORTH, TX

Past

December 10, 2014 - September 19, 2023

SJK FINANCIAL PLANNING, L.L.C.

RIA

CRD#: 173268

FORT WORTH, TX

Past

July 7, 2008 - December 24, 2014

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

HURST, TX

Past

January 20, 2006 - December 24, 2014

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

HURST, TX

Past

March 1, 2004 - November 30, 2005

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

August 23, 2001 - March 3, 2004

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

September 18, 1991 - August 28, 2001

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 3, 1988 - September 24, 1991

G. R. PHELPS & CO., INC.

CRD#: 173

Past

June 23, 1987 - February 1, 1988

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

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".

BRAZOS WEALTH ADVISORS LLC

CRD#: 323508 / SEC#: 801-130548

RIA

Registered Investment Advisory firm - (6/24/2024 Approved)

Texas

Registered Investment Advisory firm - (9/10/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/24/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/22/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRAZOS WEALTH ADVISORS LLC

CRD#: 323508 / SEC#: 801-130548

RIA

Registered Investment Advisory firm - (6/24/2024 Approved)

Texas

Registered Investment Advisory firm - (9/10/2024 Terminated)

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Contact information

Main Address

2833 Crockett St. Ste.102, Fort Worth, TX 76107

Mailing Address

Po Box 977, Iowa Park, TX 76367

Phone number

(682) 350-1055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 DISCLOSURE BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 130,819,866

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/30/2024	Cover Page	Report
01/17/2024	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert W. Shannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wesley Shannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

SJK FINANCIAL PLANNING, L.L.C.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

G. R. PHELPS & CO., INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

Primary Firm SEC Registration

BRAZOS WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2008

Series 63

Date: 8/24/1987

SIE

Date: 12/24/2014

Series 7

Date: 12/21/2010

Series 6

Date: 6/22/1987

Current Firm

BRAZOS WEALTH ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRAZOS WEALTH ADVISORS LLC

TRUST BUT VERIFY

Contact information

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