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RIA / WealthAdvisorCertified Financial Planner20 years in industry

SHANE ANDREW SQUIBB

Advisor at MODERN FINANCIAL

MONUMENT, CO

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Search this name across graphsid dfx:ria:7fa1a546-9f11-e9f0-244f-6c5d270992db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 10, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MODERN FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 23, 2014
First registration: Jul 10, 2006
Dual registered: no
IAPD individual key: 2864264

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MODERN FINANCIAL	State registered	Jan 19, 2022	n/a	yes	MONUMENT, CO	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Mar 9, 2020	Jan 25, 2022	no	COLORADO SPRINGS, CO\|DENVER, CO\|COLORADO SPRINGS, CO	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Feb 3, 2014	Mar 16, 2020	no	Denver, CO\|COLORADO SPRINGS, CO	Previous registration
FINANCIAL ACTION, INC.	Independent wealth	Jul 10, 2006	Oct 8, 2013	no	MONUMENT, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURITIES AMERICA ADVISORS, INC.	MODERN FINANCIAL	Jan 25, 2022	Jan 19, 2022	-6	Firm change	Ibd to state RIA
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	SECURITIES AMERICA ADVISORS, INC.	Mar 16, 2020	Mar 9, 2020	-7	Firm change	Other
FINANCIAL ACTION, INC.	MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Oct 8, 2013	Feb 3, 2014	118	Firm change	Other

Relationships

Registered with (4)

→ MODERN FINANCIALRegistered adviserregistration: current employment
Jan 19, 2022 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Mar 9, 2020 to Jan 25, 2022factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Feb 3, 2014 to Mar 16, 2020factForm ADV
→ FINANCIAL ACTION, INC.Registered adviserregistration: previous registration
Jul 10, 2006 to Oct 8, 2013factForm ADV

Dated events

Occurred
Jan 25, 2022
Advisor changed firm
Shane Andrew Squibb left Securities America Advisors, Inc. for Modern Financial (registered 2022-01-19)
Form ADVobserved 6 days ago