Devan Wallen
Advisor at SPC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Location
Knox, IN 46534
Credentials
Series 66
Industry experience
19 years
About
Devan Wallen is a financial advisor with SPC, holding a Series 66 designation and 19 years of industry experience. He has been with SPC and Sigma Financial Corporation since 2006 and has been associated with Financial Partners since 2005. Wallen serves as a board member for the Knox Middle School PTO. SPC serves a diverse client base including individuals, charitable organizations, corporations, and employer-sponsored retirement plans. The firm provides portfolio management, financial planning, and ERISA-related retirement plan services, offering both discretionary and nondiscretionary management options through a network of over 460 advisers.
Client services
Based on SPC
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Consultation services
Expertise
Based on SPC
General retirement planning
Income planning
Social Security optimization
Retirement plans for business owners (SEP, solo 401k)
Fee options
Flat fees for financial planning and retirement plan consulting, no minimum specified
$0 - $500,000: 2.50% $500,001 - $750,000: 1.75% $750,001 - $1,000,000: 1.50% $1,000,001+: 1.25%
Commissions earned by IARs acting as registered representatives on securities and insurance products
Up to $300/hour for financial planning; up to $50/hour for office staff time
Ongoing consulting services charged as flat fees up to $600/month or $1,800/quarter
Account minimum: $5,500 Minimum fee: Minimum annual program fee of $30 for SIGMA Managed Accounts Fee-only: Financial planning and consulting services charged hourly up to $300/hour; segmented plans max $750; comprehensive plans up to $10,000; ongoing consulting fees up to $600/month or $1,800/quarter
Location
1001 S. Roosevelt Rd
Knox, IN 46534
Most active in
Devan W has reported serving >5 clients in these states in the last 12 months.
Indiana
Work history
Spc
2006 - Present (20 years)
Sigma Financial Corporation
2006 - Present (20 years)
Financial Partners
2005 - Present (21 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Thomas S
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David S
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Plymouth, IN
Thomas Story and Son LLC
Charles H
Series 63, Series 65
Knox, IN
SPC
Charles Hasnerl II is a financial advisor at SPC with 27 years of industry experience. He holds Series 63 and Series 65 designations and has been with SPC and Sigma Financial Corporation since 2004. Outside of his advisory role, he serves as a city court judge and participates in ministry activities at several churches in Indiana. SPC serves a diverse client base including individuals, charitable organizations, corporations, and employer-sponsored retirement plans, managing approximately $5.66 billion in assets. The firm offers portfolio management, financial planning, and ERISA-related retirement plan services, with a structure that integrates affiliated broker-dealers and insurance agencies alongside fiduciary advisory services.
Christopher N
Series 66
Knox, IN
SPC
Christopher Newbauer is a financial advisor at SPC with a Series 66 credential and three years of industry experience. Prior to joining SPC and Sigma Financial Corporation in 2022, he worked for seven years at North Judson-San Pierre Schools. Outside of his advisory role, he officiates high school football and basketball games and engages in buying and selling sports cards and collectibles online. SPC serves a diverse client base including individuals, charitable organizations, corporations, and employer-sponsored retirement plans. The firm offers portfolio management, financial planning, and ERISA-related retirement plan services, delivering discretionary and nondiscretionary management through a network of over 460 advisers and approximately $5.66 billion in assets under management.
Mitchell S
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Hamlet, IN
Ameriprise
Mitchell Semans is a financial advisor with Ameriprise in Knox, Indiana, holding a Series 66 designation and 23 years of industry experience. He has been with Ameriprise and its predecessor firm since 2000. Outside of his advisory role, he serves on the board of the Hamlet Lions Club and is involved in antique sales with his wife. Ameriprise offers retirement-income planning services targeting individuals nearing or in retirement, combining research, modeling, and tax-efficiency analysis to develop personalized recommendations. The firm provides a broad range of advisory, brokerage, and insurance solutions typical of a large institutional firm.
Nicholas L
Series 66
Knox, IN
Edward Jones
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