SR
Shaun A. Roach
PEKIN HARDY STRAUSS
Chicago, IL 60606
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CRD#: 6344250
SR
Professional summary
Shaun Alan Roach, CFA is a registered financial advisor currently at PEKIN HARDY STRAUSS, INC. located in Chicago, Illinois.
Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Shaun has worked at 1 firm .
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Alan Roach'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®
Experience
Current
June 13, 2014 - Present
PEKIN HARDY STRAUSS, INC.
Office #1: 227 West Monroe Street Suite 3625, Chicago, IL 60606RIA
CRD#: 107310
Chicago, IL
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".
PH
PEKIN HARDY STRAUSS, INC.
APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC
CRD#: 107310 / SEC#: 801-35684
RIA
Registered Investment Advisory firm - (12/29/1989 Approved)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
Illinois(6/13/2014)
Exams
Current Firm
PH
PEKIN HARDY STRAUSS, INC.
APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC
CRD#: 107310 / SEC#: 801-35684
RIA
Registered Investment Advisory firm - (12/29/1989 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
227 West Monroe Street Suite 3625, Chicago, IL 60606
Mailing Address
Phone number
(312) 554-7525
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 1,144,100,534 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/25/2024 | ||
| 10/18/2023 | ||
| 01/20/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
