Shane A. Squibb

MODERN FINANCIAL

MONUMENT, CO 80132

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CRD#: 2864264

Professional summary

Shane Andrew Squibb, CFP® is a registered financial advisor currently at MODERN FINANCIAL located in Monument, Colorado.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Shane has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Retirement Income Management

Debt Management

Investment Planning

Retirement Planning

Education Planning

Employee and Employer Plan Ben...

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.

MODERN FINANCIAL, LLC/SHANE A. SQUIBB, CFP, LLC; MANAGING MEMBER/INSURANCE AGENT; INVESTMENT RELATED; SALE OF INSURANCE PRODUCTS; SPENDS APPROX. 35 HOURS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Andrew Squibb'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: 2006

Experience

Current

January 19, 2022 - Present

MODERN FINANCIAL

Office #1: 16055 Old Forest Pt Suite 130-a, Monument, CO 80132

RIA

CRD#: 317409

MONUMENT, CO

Past

March 9, 2020 - January 25, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

COLORADO SPRINGS, CO

Past

March 9, 2020 - January 25, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

COLORADO SPRINGS, CO

Past

February 3, 2014 - March 16, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

COLORADO SPRINGS, CO

Past

December 19, 2013 - March 16, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

COLORADO SPRINGS, CO

Past

July 10, 2006 - October 8, 2013

FINANCIAL ACTION, INC.

RIA

CRD#: 140285

COLORADO SPRINGS, CO

Past

September 16, 2004 - April 18, 2006

NEW ENGLAND SECURITIES

CRD#: 615

COLORADO SPRINGS, CO

Past

April 28, 1997 - September 8, 2004

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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

Colorado
(1/19/2022)

IAR

Texas
(2/15/2024)

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

Series 63

Date: 5/25/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/23/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/19/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/9/2014

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MODERN FINANCIAL

MODERN FINANCIAL | MODERN FINANCIAL ASSET MANAGEMENT, LLC

CRD#: 317409 / SEC#:

Colorado

Registered Investment Advisory firm - (1/3/2022 Approved)

New Mexico

Registered Investment Advisory firm - (11/13/2025 Termination Requested)

Texas

Registered Investment Advisory firm - (10/4/2024 Approved)

Virginia

Registered Investment Advisory firm - (11/13/2025 Termination Requested)

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Contact information

Main Address

16055 Old Forest Pt Suite 130-a, Monument, CO 80132

Mailing Address

Phone number

(808) 341-0103

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	306
AUM (Assets Under Management)	$ 24,581,054

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.

Contact information

xxxxx@xxxx.xxx

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Tara Seegers

COMMONWEALTH FINANCIAL NETWORK

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Colorado Spring, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shane A. Squibb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Andrew Squibb's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

FINANCIAL ACTION, INC.

NEW ENGLAND SECURITIES

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2016

Series 65

Date: 1/23/2014

SIE

Date: 10/1/2018

Series 6

Date: 12/19/2013

Series 26

Date: 5/9/2014

Current Firm

MODERN FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MODERN FINANCIAL

TRUST BUT VERIFY

Contact information

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