Simon Vay Woon
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
PARAGON FINANCIAL SERVICES
Contact Information
Main Address
3761 Westerre Parkway Suite H, Richmond, VA 23233Phone Number
(804) 673-8888# of Employees
7SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,382AUM (Assets Under Management)
$383,742,812Similar Advisors
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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.
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Primary Firm SEC Registration
PARAGON FINANCIAL SERVICES
State Registrations and Notice Filings
(5/15/2013)
(10/24/2025)
(10/24/2025)
(10/8/1996)
(5/15/2013)
(2/11/2013)
(10/24/2025)
(2/27/2020)
(2/4/1999)
(6/17/2010)
(5/15/2013)
(10/24/2025)
(4/22/2014)
(7/11/2014)
(3/3/2011)
(2/21/2024)
(10/24/2025)
(7/9/2021)
(8/31/2004)
(2/14/2002)
(2/16/1999)
(10/24/2025)
(12/26/2013)
(2/11/2013)
(8/16/2013)
(2/24/2012)
(7/31/2014)
(8/22/2015)
(10/24/2025)
(2/23/1995)
(10/4/2012)
(7/27/2026)
(2/4/1999)
(4/1/2019)
(3/15/2013)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1995About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Simon Vay Woon's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC
