MD
M. S. Dana
WESTERN WEALTH MANAGEMENT LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 4121479
MD
Professional summary
M. Shannon Dana, CFP®, who also goes by Michael Shannon Dana, is a registered financial advisor currently at WESTERN WEALTH MANAGEMENT LLC located in Greenwood Village, Colorado and LPL FINANCIAL LLC located in Greenwood Village, Colorado.
M. is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. M. has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Shannon Dana
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.
1) 04/20/2016: "SOFA - The Society for Financial Awareness" - Speaker/Seminar - Investment Related - 7995 E Prentice Ave. Suite #110 Greenwood Village, Co 80111 - Start 04/07/2016 - 2 Hr/Mo; 1 Hour(s) During Securities Trading; 5% Time Spent - President of the Denver Metro Chapter of SOFA 2) 04/20/2016: M. Shannon Dana - Real Estate Rental - Investment Related - 1139 Kearney St. Denver CO 80220 - Start 03/01/2012 - 1 Hr/Mo; 1% Time Spent - Previous residence that we still own and rent. 3) 04/20/2016: DC & Associates - DBA for LPL Business (entity for LPL business) - Investment Related - 7995 E Prentice Ave. Suite #110, Greenwood Village, Co 80111 - Start 01/01/2004 - 135 Hr/Mo; 7 Hour(s) During Securities Trading 4) 04/20/2016: Pinnacle Advanced Planner, Inc. - Insurance Agency - Investment Related - 7995 E Prentice Ave. Suite #110 Greenwood Village, Co 80111 - Start 05/18/2007 - 35 Hr/Mo; 20% Time Spent - This is the company that is Insurance Licensed and that the income is paid to. My role is the President. Duties include providing people with what they need for permanent, fixed insurance, disability income, etc. My service team that will be non-registered. They will service my securities, advisor, and fixed. 5) 04/29/2016: Western Wealth Management, LLC - Registered Investment Advisor - Investment Related - 7995 E Prentice Ave. Suite #110 Greenwood Village, Co 80111 - 80 Hr/Mo; 20 Hour(s) During Securities Trading; 80% Time Spent 6) 05/02/2016: Western Wealth Management, LLC - Registered Investment Advisor DBA - DBA: Retire by Design Group - Investment Related - 7995 E Prentice Ave. Suite #110 Greenwood Village, Co 80111 - Start 04/07/2016 - 120 Hr/Mo; 6 Hour(s) During Securities Trading; 70% Time Spent 7) 09/21/2016: Western Wealth Management, LLC - Registered Investment Advisor DBA - DBA: DC & Associates, Inc. - Investment Related - 7995 E Prentice Ave. Suite #110 Greenwood Village, CO 80111 - Start 04/04/2004 - 120 Hr/Mo; 90 Hour(s) During Securities Trading - I provide investment advisory services through Western Wealth Management, an independent investment advisor firm. I started this business activity in June 2016. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8) 11/16/2021 - Redwood Tax Specialists - Investment Related - Primarily at CPAs offices - Tax Prep/Accounting/CPA - Managing Director - Started 07/12/2021 - 2 Hours Per Month During Securities Trading - Tax Prep Back Office -managing director that matches CPAs and clients to a back office of accountants, tax attorneys, etc. to support CPAs and clients and master-mind tax planning.
CRS (Client Relationship Summary) - RIA
Click below to view M. Shannon Dana'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®
Start date: 2003
Experience
Current
June 22, 2016 - Present
WESTERN WEALTH MANAGEMENT LLC
Office #1: 5251 Dtc Parkway Suite 1045, Greenwood Village, CO 80111RIA
CRD#: 283545
Greenwood Village, CO
Current
April 22, 2016 - Present
LPL FINANCIAL LLC
Office #1: 5251 Dtc Parkway, Ste 1045, Greenwood Village, CO 80111RIA
BD
CRD#: 6413
Greenwood Village, CO
Past
January 8, 2018 - January 29, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENWOOD VILLAGE, CO
Past
April 22, 2016 - June 22, 2016
WESTERN WEALTH MANAGEMENT LLC
RIA
CRD#: 167344
Greenwood Village, CO
Past
February 16, 2011 - April 26, 2016
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GREENWOOD VILLAGE, CO
Past
February 16, 2011 - April 26, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
GREENWOOD VILLAGE, CO
Past
November 2, 2005 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
GREENWOOD VILLAGE, CO
Past
November 2, 2005 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
GREENWOOD VILLAGE, CO
Past
January 20, 2004 - November 4, 2005
INTERVEST INTERNATIONAL, INC.
RIA
CRD#: 111516
ENGLEWOOD, CO
Past
November 20, 2003 - November 4, 2005
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
COLORADO SPRINGS, CO
Past
November 19, 2003 - September 28, 2004
RATTINER ASSET MANAGEMENT, INC.
RIA
CRD#: 116424
ENGLEWOOD, CO
Past
May 4, 2000 - December 17, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
March 13, 2000 - December 17, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
Registered Investment Advisory firm - (5/31/2016 Approved)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
Arizona(4/22/2016)
RR
California(4/22/2016)
RR
Colorado(4/22/2016)
IAR
Colorado(6/22/2016)
RR
Florida(7/25/2022)
RR
Hawaii(4/22/2016)
RR
Idaho(4/18/2024)
RR
Illinois(4/22/2016)
RR
Indiana(4/22/2016)
RR
Iowa(4/22/2016)
RR
Kansas(10/31/2020)
RR
Michigan(4/22/2016)
RR
Nevada(7/3/2025)
RR
Oregon(4/22/2016)
RR
Pennsylvania(8/30/2022)
RR
South Dakota(4/22/2016)
RR
Wyoming(1/12/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
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Contact information
Main Address
14143 Denver Pkwy., Ste 450, Golden, CO 80401
Mailing Address
Phone number
(303) 393-2404
Established
Firm type
Fiscal year end
# of Employees
91
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,250 |
| AUM (Assets Under Management) | $ 3,944,223,085 |
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.
