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Shannon P. Simon
DB & C ADVISORS
GRAND HAVEN, MI 49417
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CRD#: 5621092
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Professional summary
Shannon Paul Simon is a registered financial advisor currently at DB & C ADVISORS, LLC located in Grand Haven, Michigan.
Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Shannon has worked at 10 firms and has passed the Series 66, 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) Grand Rapids AMBUCS. Grand Rapids, MI. AMBUCS provides mobility devices for individuals with mobility issues. On board of directors, serves as chairman of board. 2 hrs/mo; 2 during trading hrs. 2) Grand Rapids Round Table - non-profit organization. Grand Rapids, MI. Participating member of organization. 2 hrs/mo; 2 during trading hrs. 3) Non-variable insurance sales-life (term universal & whole) insurance, long term care, fixed annuities. 110 N 3rd St, Grand Haven, MI 49417. 1 hr/mo; 1 during trading hrs. 4) Shannon & Theresa J Simon Trust (Personal Family Trust). 110 North 3rd St, Grand Haven, MI 49417. Personal family trust-for estate planning purposes. Co-trustee. 1 hr/mo; 0 during trading hrs. 5) SP Simon, LLC. 523 Oldfield Dr SE, Byron Center, MI 49315. Business entity for tax purposes only. Sole owner of LLC, set up for tax purposes for advisory, securities and insurance business. 1 hr/mo; 1 during trading hrs. 6) Organized Crime Retail Advisory Board (state of Michigan) 7150 Harris Dr, Dimondale, MI 48821 (Michigan State Police Headquarters). I represent the general public on this board as outlined by the Michigan statute section 752-1086 from 2012. Attend quarterly meetings when available. 1 hr/mo;1 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Shannon Paul Simon'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
October 16, 2018 - Present
DB & C ADVISORS, LLC
Office #1: 110 North 3rd Street, Grand Haven, MI 49417RIA
CRD#: 155645
GRAND HAVEN, MI
Past
June 13, 2022 - July 23, 2024
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Grand Haven, MI
Past
October 10, 2018 - October 10, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRAND HAVEN, MI
Past
October 10, 2018 - July 5, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
GRAND HAVEN, MI
Past
May 2, 2016 - October 10, 2018
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
Grand Rapids, MI
Past
May 2, 2016 - October 10, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Grand Rapids, MI
Past
March 16, 2014 - May 10, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
GRAND RAPIDS, MI
Past
March 14, 2014 - May 4, 2016
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
GRAND RAPIDS, MI
Past
April 26, 2011 - March 14, 2014
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
GRAND RAPIDS, MI
Past
April 21, 2011 - March 14, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
GRAND RAPIDS, MI
Past
April 7, 2009 - April 25, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
GRAND RAPIDS, MI
Past
January 1, 2009 - April 25, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
GRAND RAPIDS, 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".
D&
DB & C ADVISORS, LLC
DB & C ADVISORS, LLC | DB&C ADVISORS, LLC
CRD#: 155645 / SEC#: 801-114290
RIA
Registered Investment Advisory firm - (11/15/2018 Approved)Michigan
Registered Investment Advisory firm - (2/11/2019 Terminated)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(10/16/2018)
IAR
Texas(11/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
D&
DB & C ADVISORS, LLC
DB & C ADVISORS, LLC | DB&C ADVISORS, LLC
CRD#: 155645 / SEC#: 801-114290
RIA
Registered Investment Advisory firm - (11/15/2018 Approved)Michigan
Registered Investment Advisory firm - (2/11/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
355 Settlers Road Suite 310, Holland, MI 49423
Mailing Address
Phone number
(616) 355-3455
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 292 |
| AUM (Assets Under Management) | $ 231,102,796 |
Red Flags
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Company Information
DB & C ADVISORS, LLC
CRD#: 155645Grand Haven, MI 49417TRUST BUT VERIFY
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