Joseph M. Maas

SYNERGY ASSET MANAGEMENT

VANCOUVER, WA 98684

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CRD#: 2170891

Professional summary

Joseph Merrell Maas, CFP®, who also goes by Joe M Maas, Joe Merrell Maas, is a registered financial advisor currently at SYNERGY ASSET MANAGEMENT, LLC located in Vancouver, Washington and SPG ADVISORS LLC located in Kirkland, Washington.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Joseph has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe M Maas | Joe Merrell Maas

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.

Mr. Maas is affiliated to Synergy Financial Services, Inc., Rowan Street Advisors, LLC, Synergy Mergers + Acquisitions, LLC, and an Investment Advisor Representative with Synergy Asset Management, LLC. More than 75% of his time is spent in these capacities. Investment-Related. Address: 13231 SE 36th St Ste 215, Bellevue, WA 98006

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Merrell Maas'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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

October 4, 2001 - Present

SYNERGY ASSET MANAGEMENT, LLC

Office #1: 13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

RIA

CRD#: 117201

VANCOUVER, WA

Current

November 28, 2018 - Present

SPG ADVISORS LLC

Office #1: 11411 Ne 124th St Suite 255, Kirkland, WA 98034

RIA

CRD#: 284496

Kirkland, WA

Past

December 5, 1997 - December 31, 2003

FSIC

CRD#: 37813

BOCA RATON, FL

Past

August 28, 1991 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 28, 1991 - January 13, 1998

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

SYNERGY ASSET MANAGEMENT, LLC

CRD#: 117201 / SEC#: 801-64132

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

California

Registered Investment Advisory firm - (4/12/2005 Terminated)

Washington

Registered Investment Advisory firm - (4/12/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(4/7/2021)

IAR

Washington
(10/4/2001)

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: 2/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/27/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/9/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/1998

General Securities Principal Examination

Current Firm

SYNERGY ASSET MANAGEMENT, LLC

CRD#: 117201 / SEC#: 801-64132

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

California

Registered Investment Advisory firm - (4/12/2005 Terminated)

Washington

Registered Investment Advisory firm - (4/12/2005 Terminated)

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Contact information

Main Address

13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

Mailing Address

Phone number

(206) 386-5455

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	5,659
AUM (Assets Under Management)	$ 1,052,439,630

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

Joseph M. Maas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Merrell Maas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPG ADVISORS LLC

FSIC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

SYNERGY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/1998

Series 63

Date: 8/26/1991

Series 7

Date: 1/27/1997

Series 6

Date: 8/26/1991

Series 4

Date: 12/9/1998

Series 24

Date: 4/22/1998

Current Firm

SYNERGY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYNERGY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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