BS
Brant Shrimplin
626 FINANCIAL
Portage, MI 49024
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CRD#: 4620977
BS
Professional summary
Brant Shrimplin is a registered financial advisor currently at 626 FINANCIAL, LLC located in Portage, Michigan.
Brant is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brant has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
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.
1) Community Access Management III; Investment Related; 925 4th Avenue, Seattle WA 98104; Venture fund; Investor Relations; 12/17/21; Hrs/month: 3; During securities trading hours: 2 2) N/A; Licensed Independent Insurance Agent; Investment Related; 7950 Moorsbridge Rd #104, Portage, MI 49024; Selling commissionable insurance products; 1 hour per month during securities trading hours 3) Kalamazoo Real Estate Properties; 7950 Moorsbridge Rd, Ste 103, Portage MI 49024; Owner; Property Management; Less than 10% of hours per month. 4) KLHBLS AL, LLC; Investment Related; 8774 N. 32nd St., Richland, MI. 49009; Limited Liability Company (LLC); 11/15/2022; 50% owner; assist with banking relationships, legal, tax and managing distributions for the real estate entity; 8 hours per month 5) 626 Foundation; Investment Related; 7950 Moorsbridge, 104, Portage, MI. 49024; Charitable Organization; 1/2/2023; provide charitable benefits to organizations and individuals in the future; 10 hours per month 6) AL Opportunities Fund 1 MM LLC; Investment Related; 7950 Moorsbridge Rd, Portage MI, 49024; Private Fund; Owner; 8 hours per month. 7) 626 Holdings, LLC; Not Investment Related; 8792 S. 8th, Kalamazoo, MI, 49009; Authored a Book; Author; 10/1/2024; 2 hours per month; Write and then announce to friends, family and those in my network
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2021 - Present
626 FINANCIAL, LLC
Office #1: 7950 Moorsbridge Road Suite 104, Portage, MI 49024RIA
CRD#: 306474
Portage, MI
Past
July 14, 2009 - September 16, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORTAGE, MI
Past
July 2, 2009 - September 16, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
PORTAGE, MI
Past
January 22, 2007 - July 7, 2009
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
KALAMAZOO, MI
Past
January 14, 2003 - July 7, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
KALAMAZOO, MI
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".
6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC
CRD#: 306474 / SEC#: 801-120219
RIA
Registered Investment Advisory firm - (1/22/2021 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.Highlighted states indicate IAR registrations
IAR
Michigan(3/31/2021)
IAR
Texas(5/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC
CRD#: 306474 / SEC#: 801-120219
RIA
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Contact information
Main Address
7950 Moorsbridge Road Suite 104, Portage, MI 49024
Mailing Address
Phone number
(269) 321-5040
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,179 |
| AUM (Assets Under Management) | $ 326,426,686 |
Red Flags
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Company Information
626 FINANCIAL, LLC
CRD#: 306474Portage, MI 49024TRUST BUT VERIFY
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