Shon P. Anderson

ANDERSON FINANCIAL STRATEGIES

DAYTON, OH 45423

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CRD#: 5276913

Professional summary

Shon P Anderson, CFP®, who also goes by Shon Patrick Anderson, Shon Anderson, is a registered financial advisor currently at ANDERSON FINANCIAL STRATEGIES, LLC located in Dayton, Ohio.

Shon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Shon has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?

Small Business Planning

Estate Planning

Investment Planning

Comprehensive Financial Planni...

Retirement Planning

Insurance Planning

Tax Planning

Employee and Employer Plan Ben...

Business Succession Planning

Education Planning

Do you have an area of expertise or specialization?

Business Owners

Corporate Executives

Entrepreneurs

Estate & Generational Planning...

Federal Employees

High Net Worth Client Needs

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Shon Patrick Anderson | Shon Anderson

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) WRIGHT STATE UNIVERSITY - ADJUNCT PROFESSOR - TEACHING/COACHING - DAYTON, OH - SINCE 01/2009 - NOT INVESTMENT RELATED 2) CFA SOCIETY DAYTON - PRESIDENT - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - DAYTON, OH - SINCE 10/2012 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shon P Anderson'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

Start date: 2007

Experience

Current

February 16, 2018 - Present

ANDERSON FINANCIAL STRATEGIES, LLC

Office #1: 2500 Stratacache Tower 40 N Main St., Dayton, OH 45423

RIA

CRD#: 290343

DAYTON, OH

Past

March 2, 2018 - May 1, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

DAYTON, OH

Past

October 12, 2012 - March 15, 2018

CUTTER & COMPANY, INC.

RIA

CRD#: 22449

DAYTON, OH

Past

October 12, 2012 - March 15, 2018

CUTTER & COMPANY, INC.

CRD#: 22449

DAYTON, OH

Past

December 13, 2007 - October 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DAYTON, OH

Past

November 12, 2007 - October 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DAYTON, OH

Past

May 16, 2007 - September 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DAYTON, OH

Past

February 20, 2007 - September 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DAYTON, OH

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".

ANDERSON FINANCIAL STRATEGIES, LLC

CRD#: 290343 / SEC#: 801-121691

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

Ohio

Registered Investment Advisory firm - (2/18/2022 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

Ohio
(2/16/2018)

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 65

Date: 12/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/22/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/19/2007

General Securities Representative Examination

Current Firm

ANDERSON FINANCIAL STRATEGIES, LLC

CRD#: 290343 / SEC#: 801-121691

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

Ohio

Registered Investment Advisory firm - (2/18/2022 Terminated)

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Contact information

Main Address

2500 Stratacache Tower 40 N Main St., Dayton, OH 45423

Mailing Address

Phone number

(855) 237-4545

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

ANDERSON FINANCIAL STRATEGIES, LLC ADV PART 2A/B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 348,055,211

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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Shon P. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shon P Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CUTTER & COMPANY, INC.

CUTTER & COMPANY, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ANDERSON FINANCIAL STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2007

Series 63

Date: 4/25/2007

SIE

Date: 10/1/2018

Series 31

Date: 5/22/2007

Series 7

Date: 2/19/2007

Current Firm

ANDERSON FINANCIAL STRATEGIES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDERSON FINANCIAL STRATEGIES, LLC

TRUST BUT VERIFY

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