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.
The advisor shows no other business activity.
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
Company Information
PARAGON FINANCIAL SERVICES
CRD#: 164832Richmond, VA 23233TRUST BUT VERIFY
Monitor Simon Woon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
