SW
Simon V. Woon
PARAGON FINANCIAL SERVICES
Richmond, VA 23233
Some features on this profile are disabled
CRD#: 2581241
SW
Professional summary
Simon Vay Woon is a registered financial advisor currently at PARAGON FINANCIAL SERVICES located in Richmond, Virginia and LPL FINANCIAL LLC located in Richmond, Virginia.
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Simon has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
1. 10/25/2006: Penn Treaty - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Selling LTC insurance policies. 2. 10/23/2009: Paragon Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 3/22/2012: Wms. & Woon, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Time Spent 5% - Holding company for our office condo which leases office space to our DBA, which is Paragon Financial Services, Inc. 4. 9/17/2012: Pinnacle Insurance and Financial Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 2% - Life Insurance Agent. 5. 2/8/2016: Wms. & Woon, LLC - Investment Related - 3761 Westerre Parkway, Suite H, Richmond, VA 23233 - Real Estate Rental - Started 12/10/2010 - 0 Hours Per Month - Holding company for our office condo. 6. 7/11/2017 - Golden Rule/United Health - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/21/2017 - 1 Hour Per Month During Securities Trading. 7. 8/16/2018 - Paragon Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 10/2009 - 80 Hours Per Month/80 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Paragon Financial Services, an independent investment advisor firm. I started this business activity in 10/2009. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 01/04/2023 - Paragon Tax Strategy, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 01/03/2023 - 10 Hours Per Month/2 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Simon Vay Woon'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
October 4, 2012 - Present
PARAGON FINANCIAL SERVICES
Office #1: 3761 Westerre Parkway Suite H, Richmond, VA 23233RIA
CRD#: 164832
Richmond, VA
Current
February 23, 1995 - Present
LPL FINANCIAL LLC
Office #1: 3761 Westerre Pkwy Suite H, Richmond, VA 23233-1331RIA
BD
CRD#: 6413
Richmond, VA
Past
January 2, 2008 - October 4, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
RICHMOND, VA
Past
December 3, 2003 - December 31, 2007
WILLIAMS & WOON, INC.
RIA
CRD#: 121092
RICHMOND, VA
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".
PF
PARAGON FINANCIAL SERVICES
PARAGON FINANCIAL SERVICES
CRD#: 164832 / SEC#: 801-117764
RIA
Registered Investment Advisory firm - (12/9/2019 Approved)Florida
Registered Investment Advisory firm - (12/19/2019 Terminated)New Jersey
Registered Investment Advisory firm - (5/31/2013 Terminated)Texas
Registered Investment Advisory firm - (12/19/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/23/2019 Terminated)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(5/15/2013)
RR
Arizona(10/24/2025)
RR
Arkansas(10/24/2025)
RR
California(10/8/1996)
RR
Colorado(5/15/2013)
RR
Connecticut(2/11/2013)
RR
Delaware(10/24/2025)
RR
District of Columbia(2/27/2020)
RR
Florida(2/4/1999)
RR
Georgia(6/17/2010)
RR
Illinois(5/15/2013)
RR
Indiana(10/24/2025)
RR
Kentucky(4/22/2014)
RR
Louisiana(7/11/2014)
RR
Maryland(3/3/2011)
RR
Massachusetts(2/21/2024)
RR
Michigan(10/24/2025)
RR
Missouri(7/9/2021)
RR
New Jersey(8/31/2004)
RR
New York(2/14/2002)
RR
North Carolina(2/16/1999)
RR
Ohio(10/24/2025)
RR
Oklahoma(12/26/2013)
RR
Pennsylvania(2/11/2013)
RR
South Carolina(8/16/2013)
RR
Tennessee(2/24/2012)
RR
Texas(7/31/2014)
IAR
Texas(8/22/2015)
RR
Utah(10/24/2025)
RR
Virginia(2/23/1995)
IAR
Virginia(10/4/2012)
RR
West Virginia(2/4/1999)
RR
Wisconsin(4/1/2019)
RR
Wyoming(3/15/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PARAGON FINANCIAL SERVICES
PARAGON FINANCIAL SERVICES
CRD#: 164832 / SEC#: 801-117764
RIA
Registered Investment Advisory firm - (12/9/2019 Approved)Florida
Registered Investment Advisory firm - (12/19/2019 Terminated)New Jersey
Registered Investment Advisory firm - (5/31/2013 Terminated)Texas
Registered Investment Advisory firm - (12/19/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/23/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3761 Westerre Parkway Suite H, Richmond, VA 23233
Mailing Address
Phone number
(804) 673-8888
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,312 |
| AUM (Assets Under Management) | $ 337,405,173 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PARAGON FINANCIAL SERVICES
CRD#: 164832Richmond, VA 23233TRUST BUT VERIFY
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