Shannon J. Pike

KASSOUF WEALTH ADVISORS

Birmingham, AL 35205-4022

Some features on this profile are disabled

CRD#: 3183278

Professional summary

Shannon Jon Pike, CFP® is a registered financial advisor currently at KASSOUF WEALTH ADVISORS, LLC located in Birmingham, Alabama.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Shannon has worked at 10 firms and has passed the Series 66 and Series 7 exams.

Biography

Shannon provides financial planning services and investment expertise for Kassouf Wealth Advisors, LLC. His areas of specialty include budget & debt management, comprehensive financial planning, 401(k)/403(b)/IRAs, banking, charitable & planned giving, annuities, asset allocation, estate planning, investment management, limited partnerships, employee benefits, mutual funds, insurance, life planning, retirement, stocks & bonds, long-term care, succession planning, and personal taxes.

Question & Answer

Do you have an area of expertise or specialization?

Budget & Debt Management

Comprehensive Financial Planni...

401(k)/403(b)/IRAs

Banking

Charitable & Planned Giving

Annuities

Asset Allocation

Estate Planning

Investment Management

Limited Partnerships

Employee Benefits

Mutual Funds

Insurance

Life Planning

Retirement

Stocks & Bonds

Long-term Care

Succession Planning

Personal Taxes

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.

KASSOUF & CO; ACCOUNTING FIRM; PRINCIPAL; NOVEMBER 2022; BIRMINGHAM, AL; APPROXIMATELY 10 HOURS PER MONTH PERFORMING VARIOUS ACCOUNTING FUNCTIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Jon Pike's CRS (Customer Relationship Summary).

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

Education

University of Illinois

Experience

Current

November 28, 2022 - Present

KASSOUF WEALTH ADVISORS, LLC

Office #1: 2101 Highland Avenue South Suite 650, Birmingham, AL 35205-4022

RIA

CRD#: 122683

Birmingham, AL

Past

May 13, 2016 - November 3, 2022

TANGLEWOOD LEGACY ADVISORS, LLC

RIA

CRD#: 127289

HOUSTON, TX

Past

February 27, 2014 - January 8, 2016

ASSET MANAGEMENT ADVISORS INC

RIA

CRD#: 105921

HOUSTON, TX

Past

November 17, 2011 - January 24, 2014

INTEGRA WEALTH ADVISORS, LLC

RIA

CRD#: 156216

HOUSTON, TX

Past

December 18, 2006 - November 17, 2011

LINSCOMB WEALTH, INC.

RIA

CRD#: 106779

HOUSTON, TX

Past

August 6, 2004 - August 11, 2004

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

August 3, 2004 - August 11, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 27, 2003 - February 2, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

HOUSTON, TX

Past

August 27, 2003 - February 2, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

HOUSTON, TX

Past

August 30, 2000 - May 6, 2003

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

December 1, 1999 - August 3, 2000

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 26, 1999 - November 2, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

KASSOUF WEALTH ADVISORS, LLC

KASSOUF WEALTH ADVISORS, LLC | SUMMIT WEALTH MANAGEMENT, LLC

CRD#: 122683 / SEC#: 801-67293

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

Alabama

Registered Investment Advisory firm - (1/9/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(11/28/2022)

IAR

Texas
(10/31/2024)

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

IAR

Series 66

Date: 3/5/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/24/1999

General Securities Representative Examination

Current Firm

KASSOUF WEALTH ADVISORS, LLC

KASSOUF WEALTH ADVISORS, LLC | SUMMIT WEALTH MANAGEMENT, LLC

CRD#: 122683 / SEC#: 801-67293

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

Alabama

Registered Investment Advisory firm - (1/9/2007 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

2101 Highland Avenue South Suite 650, Birmingham, AL 35205-4022

Mailing Address

Phone number

(205) 776-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KASSOUF WEALTH ADVISORS, LLC DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	421
AUM (Assets Under Management)	$ 402,376,008

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/01/2024	Cover Page	Report
02/27/2023	Cover Page	Report

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shannon J. Pike

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Jon Pike's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Illinois

Experience

TANGLEWOOD LEGACY ADVISORS, LLC

ASSET MANAGEMENT ADVISORS INC

INTEGRA WEALTH ADVISORS, LLC

LINSCOMB WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CHASE INVESTMENT SERVICES CORP.

WS GRIFFITH SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

KASSOUF WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/1999

Series 7

Date: 2/24/1999

Current Firm

KASSOUF WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KASSOUF WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors