WS
Wendy J. Shannon
L.M. KOHN & COMPANY
Saginaw, MI 48604
Some features on this profile are disabled
CRD#: 5105903
WS
Professional summary
Wendy Jeanne Shannon, who also goes by Wendy Jeanne Watkins, is a registered financial advisor currently at L.M. KOHN & COMPANY located in Saginaw, Michigan.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Wendy has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy Jeanne Watkins
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. Bronner's Christmas Wonderland, Not investment related, 25 Christmas Lane - Frankenmuth MI 48734, Retail Christmas Decorations, Position=Penner (Personalize ornaments) Started 2016, Seasonal hours vary, approximately 16-30 hours (evenings and weekends), 0 hours during trading hours. I personalize ornaments. 2. Norris & Co. Wealth Management, Investment related, 4800 Fashion Square Blvd suite 490, Saginaw MI 48604, Financial Advisory Firm. I am a registered office assistant. Started May 2022. I work 24 hours a week. 20 hours of those are during trading hours. I assist Financial Advisors with daily clerical work. Also will take trade instructions and place trades when the advisors are not available. 3. Michigan Patchwork Studio, LLC-Quilter - Make quilts and quilted items. Selling them online and craft shows. - I am the owner and I am Small Private business - I will work 100 hours a year and my pay will be from sales.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Jeanne Shannon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wendy Jeanne Shannon'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®
NoneExperience
Current
June 26, 2023 - Present
L.M. KOHN & COMPANY
Office #1: 4800 Fashion Square Blvd Suite 490, Saginaw, MI 48604RIA
BD
CRD#: 27913
Saginaw, MI
Current
January 30, 2023 - Present
L.M. KOHN & COMPANY
Office #1: 4800 Fashion Square Blvd Suite 490, Saginaw, MI 48604RIA
BD
CRD#: 27913
Saginaw, MI
Past
March 20, 2015 - March 23, 2016
L.M. KOHN & COMPANY
BD
CRD#: 27913
SAGINAW, MI
Past
May 1, 2014 - September 26, 2014
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
November 3, 2010 - July 3, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SAGINAW, MI
Past
June 1, 2009 - July 3, 2012
MORGAN STANLEY
BD
CRD#: 149777
SAGINAW, MI
Past
August 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAGINAW, MI
Past
July 12, 2006 - July 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAGINAW, 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".
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Michigan(6/26/2023)
IAR
Michigan(6/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/30/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Mailing Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Phone number
(513) 792-0301
Established
Ohio since 11/27/1990
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
85
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
L.M. KOHN & COMPANY
CRD#: 27913Saginaw, MI 48604TRUST BUT VERIFY
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