Shannon V. Wegner

WEGNER ASSET MANAGEMENT

MIDDLETON, WI

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CRD#: 2716132

Professional summary

Shannon Von Wegner, CFP® is a registered financial advisor currently at WEGNER ASSET MANAGEMENT, LLC located in Middleton, Wisconsin.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Shannon has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?

Tax Planning

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Estate Planning

Insurance Planning

Social Security Planning

Budgeting

Retirement Income Management

Do you have an area of expertise or specialization?

Estate & Generational Planning...

High Net Worth Client Needs

Investment Advice with Ongoing...

Middle Income Client Needs

Retirement Planning & Distribu...

What is your minimum asset requirement?

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Von Wegner'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

August 4, 1998 - Present

WEGNER ASSET MANAGEMENT, LLC

RIA

CRD#: 110866

MIDDLETON, WI

Past

December 8, 1997 - June 30, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 9, 1996 - January 27, 1997

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

Minnesota
(2/13/2018)

IAR

Wisconsin
(8/4/1998)

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: 6/23/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/8/1996

General Securities Representative Examination

Current Firm

WEGNER ASSET MANAGEMENT, LLC

CRD#: 110866 / SEC#:

Minnesota

Registered Investment Advisory firm - (7/8/2008 Approved)

Wisconsin

Registered Investment Advisory firm - (8/4/1998 Approved)

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Contact information

Main Address

Middleton, WI

Mailing Address

Phone number

(608) 441-9711

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 68,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Shannon V. Wegner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Von Wegner's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEGNER ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2008

Series 63

Date: 5/3/1996

Series 7

Date: 4/8/1996

Current Firm

WEGNER ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEGNER ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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