Shannon L. Grant

ROEHL & YI INVESTMENT ADVISORS

Eugene, OR 97401

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CRD#: 717896

Professional summary

Shannon Lee Grant is a registered financial advisor currently at ROEHL & YI INVESTMENT ADVISORS, LLC located in Eugene, Oregon.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Shannon has worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Lee Grant'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®

None

Experience

Current

February 21, 2025 - Present

ROEHL & YI INVESTMENT ADVISORS, LLC

Office #1: 450 Country Club Road Suite 200, Eugene, OR 97401

RIA

CRD#: 109258

Eugene, OR

Past

January 23, 2025 - January 24, 2025

ROEHL & YI INVESTMENT ADVISORS, LLC

RIA

CRD#: 109258

EUGENE, OR

Past

June 17, 2021 - December 31, 2024

ROEHL & YI INVESTMENT ADVISORS, LLC

RIA

CRD#: 109258

EUGENE, OR

Past

November 14, 2006 - May 5, 2017

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

December 2, 2002 - May 2, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

DENVER, CO

Past

August 6, 2002 - May 2, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 26, 2000 - September 14, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 15, 1999 - January 26, 2000

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

February 5, 1997 - October 30, 1998

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

June 13, 1990 - July 22, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 25, 1990 - July 22, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 19, 1989 - June 22, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 26, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 2, 1988 - April 25, 1990

UR FINANCIAL, INC.

CRD#: 10509

Past

September 29, 1986 - December 31, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

February 18, 1986 - September 29, 1986

YAEGER SECURITIES, INC.

CRD#: 10118

Past

June 17, 1985 - December 9, 1985

FIRST UNION SECURITIES INC

CRD#: 15001

Past

September 19, 1984 - December 17, 1984

FIRST UNION SECURITIES INC

CRD#: 15001

Past

December 15, 1983 - July 16, 1984

GREENFIELD/CAMPBELL, INC.

CRD#: 7401

Past

May 11, 1981 - October 1, 1983

OMEGA NORTHWEST, INC.

CRD#: 8630

Past

October 24, 1980 - June 10, 1981

MARQUAM CAPITAL CORPORATION

CRD#: 5669

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".

ROEHL & YI INVESTMENT ADVISORS, LLC

ROEHL & SITTNER INVESTMENT ADVISORS LLC | ROEHL & YI INVESTMENT ADVISORS, LLC

CRD#: 109258 / SEC#: 801-56145

RIA

Registered Investment Advisory firm - (1/12/1999 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

Oregon
(2/21/2025)

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: 6/11/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/1987

General Securities Principal Examination

Current Firm

ROEHL & YI INVESTMENT ADVISORS, LLC

ROEHL & SITTNER INVESTMENT ADVISORS LLC | ROEHL & YI INVESTMENT ADVISORS, LLC

CRD#: 109258 / SEC#: 801-56145

RIA

Registered Investment Advisory firm - (1/12/1999 Approved)

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Contact information

Main Address

450 Country Club Road Suite 200, Eugene, OR 97401

Mailing Address

P.o. Box 11810, Eugene, OR 97440

Phone number

(541) 683-2085

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/28/2025)

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,639
AUM (Assets Under Management)	$ 857,825,360

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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Advisor Monitoring

Firm Stability Insights

Shannon L. Grant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Lee Grant's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROEHL & YI INVESTMENT ADVISORS, LLC

ROEHL & YI INVESTMENT ADVISORS, LLC

EMPOWER ADVISORY GROUP, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL PARTNERS, LLC

ALPS DISTRIBUTORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

UR FINANCIAL, INC.

CETERA WEALTH SERVICES, LLC

YAEGER SECURITIES, INC.

FIRST UNION SECURITIES INC

FIRST UNION SECURITIES INC

GREENFIELD/CAMPBELL, INC.

OMEGA NORTHWEST, INC.

MARQUAM CAPITAL CORPORATION

Primary Firm SEC Registration

ROEHL & YI INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2021

Series 63

Date: 2/25/1987

Series 7

Date: 10/18/1980

Series 24

Date: 11/4/1987

Current Firm

ROEHL & YI INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROEHL & YI INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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