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Shelly M Maas

Sunrise Financial Services LLC

Burien, WA

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Current Employers
Sunrise Financial Services Llc

431 Sw Ambaum Blvd, Burien, WA 98166 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-27
WA RA APPROVED 2024-02-23
  • TX RA
    APPROVED_RES
    Since 2024-02-27
  • WA RA
    APPROVED
    Since 2024-02-23

Branch Locations

431 Sw Ambaum Blvd, Burien, WA 98166 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Renton WA 08/2012 05/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Renton WA 09/2012 05/2021
Gwfs Equities, Inc Greenwood Village CO 11/2021 08/2022
Empower Advisory Group, Llc Greenwood Village CO 11/2021 08/2022
Unemployed Tacoma WA 06/2021 10/2021
Madison Avenue Securities, Llc San Diego CA 08/2022 Present
Sunrise Financial Services Llc Seattle WA 08/2022 Present
Madison Avenue Securities, Llc San Diego CA 08/2022 08/2024
Sunrise Financial Services Llc Seattle WA 01/2024 Present
Previous Registrations
  • 2021-11-05 → 2022-08-03
    Empower Advisory Group, Llc
    Greenwood Village, CO
    Tacoma, WA
  • 2012-09-06 → 2021-06-01
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Tacoma, WA
    Bellevue, WA
    Tacoma, WA
    Bainbridge Island, WA
    Lacey, WA
    Renton, WA
    Tacoma, WA
    Renton, WA
    Renton, WA
    Bainbridge Island, WA
    Tacoma, WA
    Bellevue, WA
    Tacoma, WA
    Pennington, NJ
    Seal Beach, CA
    Pennington, NJ
    San Diego, CA
    Pennington, NJ
  • 2012-06-06 → 2012-08-15
    Msi Financial Services, Inc.
    Tacoma, WA
  • 2008-09-12 → 2012-03-19
    Forward Management, Llc
    Seattle, WA
  • 2004-10-15 → 2008-09-03
    Accessor Capital Management Lp
    Seattle, WA
  • 2002-12-05 → 2003-09-23
    Banc Of America Investment Services, Inc.
    Seattle, WA
Other Businesses

1) NAME: SUNRISE FINANCIAL SERVICES; INV RELATED:YES; ADDRESS:431 SW AMBAUM BOULEVARD BURIEN, WA 98166; POSITION: REGISTERED SALES ASSISTANT PRODUCER; START DATE:08/15/2022; HOURS/MONTH:120; TRADING HOURS/MONTH:120; DUTIES:BACK OFFICE; 2) NAME: MADISON AVENUE SECURITIES, LLC; INV RELATED: YES; 431 SW AMBAUM BOULEVARD BURIEN, WA 98166; POSITION: REGISTERED REPRESENTATIVE/INVESTMENT ADVISOR REPRESENTATIVE; START DATE:08/15/2022; HOURS/MONTH:120; TRADING HOURS/MONTH:12 2) NAME: SUNRISE FINANCIAL SERVICES; ADDRESS: 431 SW AMBAUM BOULEVARD BURIEN, WA 98166; INVESTMENT RELATED: YES; POSITION: PORTFOLIO MANAGER / INVESTMENT ADVISOR; DUTIES: PORTFOLIO MANAGEMENT, INVESTMENT RECOMMENDATIONS, PORTFOLIO REVIEW, RISK MANAGEMENT; HOURS PER WEEK: 35 HOURS; START DATE: 2/23/2024 3.) NAME: MADISON AVENUE SECURITIES; INV RELATED:YES; ADDRESS:431 SWAMBAUM BOULEVARD BURIEN, WA 98166; NATURE:BROKER DEALER/RIA; POSITION:REGISTERED REP/IAR; START DATE:02/2019; HOURS/MONTH:19; TRADINGHOURS/MONTH:19;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-09
S63 Uniform Securities Agent State Law Examination 1996-08-16
  • S65 Uniform Investment Adviser Law Examination
    1997-07-09
  • S63 Uniform Securities Agent State Law Examination
    1996-08-16
Other Names
  • Shelly Marie Maas

View on SEC IAPD

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