Shanda K. Sullivan

ASPEN WEALTH PLANNERS LLC

Broken Arrow, OK 74014

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CRD#: 5870095

Professional summary

Shanda Kaye Sullivan, CFP®, who also goes by Shanda Kaye Lemons, Shanda Sullivan, Shanda Kaye Vanatta, is a registered financial advisor currently at ASPEN WEALTH PLANNERS LLC located in Broken Arrow, Oklahoma.

Shanda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Shanda has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shanda Kaye Lemons | Shanda Sullivan | Shanda Kaye Vanatta

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.

Shanda Sullivan is the owner of Sullivan Financial Strategies, LLC. This activity accounts for approximately 50% of their time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shanda Kaye Sullivan'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

November 29, 2022 - Present

ASPEN WEALTH PLANNERS LLC

Office #1: Po Box 40292, Broken Arrow, OK 74014

RIA

CRD#: 118324

Broken Arrow, OK

Past

August 23, 2012 - June 20, 2024

SULLIVAN FINANCIAL STRATEGIES, LLC

RIA

CRD#: 164474

BROKEN ARROW, OK

Past

January 12, 2011 - February 10, 2011

STEP BY STEP FINANCIAL, LLC

RIA

CRD#: 146345

BROKEN ARROW, OK

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
(11/29/2022)

IAR

Colorado
(11/29/2022)

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: 12/20/2010

Uniform Investment Adviser Law Examination

Current Firm

ASPEN WEALTH PLANNERS LLC

ASPEN WEALTH PLANNERS LLC | SCHMIDT, ROSS A. | ROSS FINANCIAL ADVISORS, INC. | ROSS FINANCIAL ADVISORS | EAST BAY CAMBRIDGE ADVISORS

CRD#: 118324 / SEC#: 801-60901

RIA

Registered Investment Advisory firm - (7/16/2002 Terminated)

California

Registered Investment Advisory firm - (1/1/2003 Approved)

Colorado

Registered Investment Advisory firm - (5/6/2005 Approved)

Oklahoma

Registered Investment Advisory firm - (6/12/2024 Approved)

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

Broken Arrow, OK

Mailing Address

Phone number

(918) 814-7074

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	107
AUM (Assets Under Management)	$ 29,239,917

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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Shanda K. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shanda Kaye Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN WEALTH PLANNERS LLC

SULLIVAN FINANCIAL STRATEGIES, LLC

STEP BY STEP FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2010

Current Firm

ASPEN WEALTH PLANNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN WEALTH PLANNERS LLC

TRUST BUT VERIFY

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