Wendell S. Simon

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CRD#: 2574191

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.

Wendell Scott Simon, CFP®, who also goes by Wendell Simon, W. Scott Simon, was a registered financial professional .

Wendell is a previously registered financial professional and started their career in finance in 2003. Wendell had worked at 2 firms and has passed the Series 2 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendell Simon | W. Scott Simon

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.

Co-Founder and member of the board of the Center for Board Certified. Center for Board Certified Fiduciaries 31 Palmer Street Stonington, CT 06378 Provide approximate number of hours during securities trading hours 6.00 Provide approximate number of hours per month devoted to this other business 6.00 The Center for Board Certified Fiduciaries TM (CBCFTM) is a Public Benefit Corporation (PBC) founded and funded by fiduciary advocates to engage in the development of advanced executive and professional education training programs related to fiduciary responsibility. CBCFTM affiliated with a leading university to offer noncredit training and certification programs in fiduciary leadership, stewardship and governance. These training programs offer transformative and practical skills for the next generation of organizational leaders.

Blog Corner

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®

CFP^®

Certified Financial Planner

Experience

Past

May 23, 2019 - May 26, 2022

RETIREMENT WELLNESS GROUP

RIA

CRD#: 297255

PASADENA, CA

Past

October 13, 2003 - June 6, 2019

PRUDENT INVESTOR ADVISORS, LLC

RIA

CRD#: 121922

Vista, CA

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".

RETIREMENT WELLNESS GROUP

RETIREMENT WELLNESS GROUP | RETIREMENT WELLNESS GROUP LLC

CRD#: 297255 / SEC#: 801-113447

RIA

Registered Investment Advisory firm - (6/15/2018 Approved)

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.

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

General Industry/Product Exam

Series 2

Date: 12/13/1994

Non-Member General Securities Examination

Current Firm

RETIREMENT WELLNESS GROUP

RETIREMENT WELLNESS GROUP | RETIREMENT WELLNESS GROUP LLC

CRD#: 297255 / SEC#: 801-113447

RIA

Registered Investment Advisory firm - (6/15/2018 Approved)

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Contact information

Main Address

123 South Marengo Ave. Suite 200, Pasadena, CA 91101

Mailing Address

Phone number

(949) 757-1799

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWG ADV PART 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 523,670,881

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.

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Wendell S. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RETIREMENT WELLNESS GROUP

PRUDENT INVESTOR ADVISORS, LLC

Primary Firm SEC Registration

RETIREMENT WELLNESS GROUP

State Registrations and Notice Filings

Exams

Series 2

Date: 12/13/1994

Current Firm

RETIREMENT WELLNESS GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT WELLNESS GROUP

TRUST BUT VERIFY

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