Shelly M. Maas

SUNRISE FINANCIAL SERVICES LLC

Burien, WA 98166

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CRD#: 2750543

Professional summary

Shelly M Maas, who also goes by Shelly Marie Maas, is a registered financial advisor currently at SUNRISE FINANCIAL SERVICES LLC located in Burien, Washington and MADISON AVENUE SECURITIES, LLC located in Burien, Washington.

Shelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Shelly has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shelly Marie 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.

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;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelly M 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®

None

Experience

Current

February 23, 2024 - Present

SUNRISE FINANCIAL SERVICES LLC

Office #1: 431 Sw Ambaum Blvd, Burien, WA 98166

RIA

CRD#: 325955

Burien, WA

Current

August 16, 2022 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 431 Sw Ambaum Boulevard, Burien, WA 98166

RIA

CRD#: 23224

Burien, WA

Past

August 16, 2022 - October 4, 2024

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SAN DIEGO, CA

Past

November 5, 2021 - August 3, 2022

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

TACOMA, WA

Past

November 5, 2021 - August 3, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 6, 2012 - June 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TACOMA, WA

Past

August 31, 2012 - June 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TACOMA, WA

Past

June 6, 2012 - August 15, 2012

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

TACOMA, WA

Past

March 20, 2012 - August 15, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TACOMA, WA

Past

January 2, 2009 - September 15, 2011

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SAN FRANCISCO, CA

Past

September 12, 2008 - March 19, 2012

FORWARD MANAGEMENT, LLC

RIA

CRD#: 109193

SEATTLE, WA

Past

January 3, 2007 - December 31, 2008

FORESIDE FUND SERVICES, LLC

CRD#: 46106

SEATTLE, WA

Past

October 15, 2004 - September 3, 2008

ACCESSOR CAPITAL MANAGEMENT LP

RIA

CRD#: 104587

SEATTLE, WA

Past

December 15, 2003 - December 31, 2006

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SEATTLE, WA

Past

December 16, 2002 - September 23, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

December 5, 2002 - September 23, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SEATTLE, WA

Past

June 14, 2001 - June 12, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

May 14, 1999 - June 22, 2001

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

August 25, 1997 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

June 21, 1996 - August 26, 1997

SEAFIRST INVESTMENT SERVICES, INC.

CRD#: 17411

SEATTLE, WA

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".

SUNRISE FINANCIAL SERVICES LLC

CRD#: 325955 / SEC#: 801-132461

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Texas

Registered Investment Advisory firm - (8/22/2025 Terminated)

Washington

Registered Investment Advisory firm - (9/22/2025 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(2/27/2024)

Washington
(8/16/2022)

IAR

Washington
(2/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SUNRISE FINANCIAL SERVICES LLC

CRD#: 325955 / SEC#: 801-132461

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Texas

Registered Investment Advisory firm - (8/22/2025 Terminated)

Washington

Registered Investment Advisory firm - (9/22/2025 Terminated)

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Contact information

Main Address

431 Sw Ambaum Blvd, Burien, WA 98166

Mailing Address

Phone number

(206) 420-8520

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A & 2B SEC (8/22/2025)

Regulatory assets under management

Total Number of Accounts	650
AUM (Assets Under Management)	$ 137,606,645

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

Shelly M. Maas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelly M Maas's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

ALPS DISTRIBUTORS, INC.

FORWARD MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

ACCESSOR CAPITAL MANAGEMENT LP

ALPS DISTRIBUTORS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

EDWARD JONES

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

SEAFIRST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SUNRISE FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/1997

Series 63

Date: 8/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1996

FINRA

Current Firm

SUNRISE FINANCIAL SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUNRISE FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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