Shane J. Kochon

HARVESTWISE WEALTH PLANNING | Financial Advisor

ESCONDIDO, CA 92025

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CRD#: 5296319

Professional summary

Shane J Kochon, AIF®, who also goes by Shane Joseph Kochon, is a registered financial advisor currently at HARVESTWISE WEALTH PLANNING located in Escondido, California.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Shane has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning Strategies

Tax Planning Strategies

Investments

Are you a "fiduciary"?

Yes

Aliases

Shane Joseph Kochon

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.

Real Estate Ownership; Single Family; 8659 Summerdale RdSan Diego, CA 92126, , ** not provided **, N/A, 00000; Investment-Related; 08/01/2017. Independent Insurance Brokering; ING; 12/20/2013; / Jackson National; 12/20/2013; / Principal; 02/01/2014; . Business Ownership; Other; Other; 2355 Bernardo Ave, , Escondido, CA, 92029; Not Investment-Related; 12/01/2022; 1 to 9 hours per month; 0 during trading hours. Real Estate License; Shane; Kochon; Yes. Board of Directors; Kochon; Shane J; Treasurer; PO Box 44, , Palomar Mountain, CA, 92060; Investment-Related; 10/01/2023; 1 to 9 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane J Kochon'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 25, 2024 - Present

HARVESTWISE WEALTH PLANNING

Office #1: 500 La Terraza Blvd. Suite 150, Escondido, CA 92025

RIA

CRD#: 333146

ESCONDIDO, CA

Past

December 20, 2013 - October 29, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Escondido, CA

Past

December 20, 2013 - October 29, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Escondido, CA

Past

January 26, 2012 - December 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

January 26, 2012 - December 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

Past

September 1, 2008 - December 21, 2011

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

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
(10/28/2024)

IAR

Texas
(10/25/2024)

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: 12/19/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2008

General Securities Representative Examination

Current Firm

HARVESTWISE WEALTH PLANNING

HARVESTWISE WEALTH LLC | HARVESTWISE WEALTH PLANNING

CRD#: 333146 / SEC#: 801-131359

RIA

Registered Investment Advisory firm - (4/4/2025 Terminated)

California

Registered Investment Advisory firm - (3/27/2025 Approved)

Texas

Registered Investment Advisory firm - (4/3/2025 Conditional Restricted)

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).

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Contact information

Main Address

500 La Terraza Blvd. Suite 150, Escondido, CA 92025

Mailing Address

Phone number

(858) 310-1920

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B - SHANE KOCHON (3/24/2025)

FORM ADV PART 2A - FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	239
AUM (Assets Under Management)	$ 38,305,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Shane J. Kochon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane J Kochon's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARVESTWISE WEALTH PLANNING

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2008

Current Firm

HARVESTWISE WEALTH PLANNING

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVESTWISE WEALTH PLANNING

TRUST BUT VERIFY

Contact information

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