Darryl J. Shafer

MONARCH PLAN ADVISORS

SIMI VALLEY, CA 93063

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CRD#: 4787401

Professional summary

Darryl James Shafer, CFP® is a registered financial advisor currently at MONARCH PLAN ADVISORS located in Simi Valley, California.

Darryl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Darryl has worked at 6 firms and has passed the Series 66, 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. NAME: CRAIG PARK EAST HOMEOWNERS ASSOCIATION; NOT INV RELATED; ADDRESS: C/O Millennium Community Management, 1900 E. Warner Ave. #1P, Santa Ana, CA 92705-5549; NATURE: CRAIG PARK EAST IS A HOME OWNERS ASSOCIATION FOR A CONDOMINIUM COMPLEX WHERE I OWN A CONDO; POSITION: BOARD MEMBER; START DATE 07/2013; # HRS/ MO: 2;# HRS D TRADE: 0; DUTIES: THE ASSOCIATION'S 5 MEMBER BOARD APPROVES EXPENDITURES AND ANNUAL BUDGETS RELATED TO MAINTAINING THE CONDO COMPLEX. THIS IS A VOLUNTARY POSITION FOR WHICH I RECEIVE NO COMPENSATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darryl James Shafer'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

Experience

Current

September 14, 2017 - Present

MONARCH PLAN ADVISORS

Office #1: 3355 Cochran Street Suite 101, Simi Valley, CA 93063

RIA

CRD#: 286612

SIMI VALLEY, CA

Past

March 22, 2016 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Simi Valley, CA

Past

January 2, 2013 - March 18, 2016

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

February 29, 2008 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

December 19, 2005 - February 29, 2008

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

October 13, 2004 - November 22, 2005

FMN CAPITAL CORPORATION

CRD#: 38105

MISSION VIEJO, CA

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".

MONARCH PLAN ADVISORS

3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS

CRD#: 286612 / SEC#: 801-111651

RIA

Registered Investment Advisory firm - (9/8/2017 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

California
(9/14/2017)

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: 12/13/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2004

General Securities Representative Examination

Current Firm

MONARCH PLAN ADVISORS

3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS

CRD#: 286612 / SEC#: 801-111651

RIA

Registered Investment Advisory firm - (9/8/2017 Approved)

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Contact information

Main Address

3355 Cochran Street Suite 101, Simi Valley, CA 93063

Mailing Address

Phone number

(818) 444-0376

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-06-16 MONARCH PLAN ADVISORS FORM ADV PART 2A (6/16/2025)

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 762,465,061

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.

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Advisor Monitoring

Firm Stability Insights

Darryl J. Shafer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darryl James Shafer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

MML DISTRIBUTORS, LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

MFS FUND DISTRIBUTORS, INC.

FMN CAPITAL CORPORATION

Primary Firm SEC Registration

MONARCH PLAN ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2004

SIE

Date: 12/31/2017

Series 7

Date: 10/12/2004

Current Firm

MONARCH PLAN ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONARCH PLAN ADVISORS

TRUST BUT VERIFY

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