Melodie K. Ace

CANOPY WEALTH MANAGEMENT

Middleton, WI 53562

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CRD#: 4428463

Professional summary

Melodie Kay Ace, who also goes by Melodie K Ace, Melodie Kay Andrews, Melodie Kay Peterson, is a registered financial advisor currently at CANOPY WEALTH MANAGEMENT located in Middleton, Wisconsin.

Melodie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Melodie has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melodie K Ace | Melodie Kay Andrews | Melodie Kay Peterson

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.

Business Ownership; Ivy's Guest House, LLC; owner; This is the LLC entity under which our rental property is titled.; New Glarus, WI 53574; Not Investment Related; November 2021; 1 to 9 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melodie Kay Ace'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

January 20, 2023 - Present

CANOPY WEALTH MANAGEMENT

Office #1: 8215 Greenway Boulevard Suite 540, Middleton, WI 53562

RIA

CRD#: 297717

Middleton, WI

Past

May 9, 2022 - December 14, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Madison, WI

Past

May 9, 2022 - December 14, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Madison, WI

Past

March 10, 2010 - January 19, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MIDDLETON, WI

Past

March 8, 2010 - April 26, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MIDDLETON, WI

Past

December 23, 2009 - February 16, 2010

BFE ASSET MANAGEMENT, LLC

RIA

CRD#: 148578

ST. LOUIS, MO

Past

December 4, 2009 - February 16, 2010

BENJAMIN F. EDWARDS & COMPANY, INC.

CRD#: 146936

MADISON, WI

Past

August 14, 2009 - December 9, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

MADISON, WI

Past

August 14, 2009 - December 9, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MADISON, WI

Past

February 20, 2007 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA

CRD#: 109729

MILWAUKEE, WI

Past

February 23, 2004 - July 30, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MIDDLETON, WI

Past

February 23, 2004 - July 30, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MIDDLETON, WI

Past

July 30, 2001 - January 27, 2004

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MINOT, ND

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".

CANOPY WEALTH MANAGEMENT

CANOPY WEALTH MANAGEMENT | ERN FINANCIAL, LLC

CRD#: 297717 / SEC#: 801-113774

RIA

Registered Investment Advisory firm - (8/2/2018 Approved)

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
(3/24/2025)

IAR

Wisconsin
(1/20/2023)

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 66

Date: 1/8/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/4/2001

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: 7/26/2001

General Securities Representative Examination

Current Firm

CANOPY WEALTH MANAGEMENT

CANOPY WEALTH MANAGEMENT | ERN FINANCIAL, LLC

CRD#: 297717 / SEC#: 801-113774

RIA

Registered Investment Advisory firm - (8/2/2018 Approved)

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Contact information

Main Address

8215 Greenway Boulevard Suite 540, Middleton, WI 53562

Mailing Address

Phone number

(608) 662-9018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERN FINANCIAL LLC D/B/A CANOPY WEALTH MANAGEMENT FORM ADV PART 2A BROCHURE (6/3/2025)

Regulatory assets under management

Total Number of Accounts	4,059
AUM (Assets Under Management)	$ 1,474,786,629

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
10/28/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/03/2023	Cover Page	Report

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

Melodie K. Ace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melodie Kay Ace's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BFE ASSET MANAGEMENT, LLC

BENJAMIN F. EDWARDS & COMPANY, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CAPITAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CANOPY WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2007

Series 63

Date: 9/4/2001

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2001

Current Firm

CANOPY WEALTH MANAGEMENT

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CANOPY WEALTH MANAGEMENT

TRUST BUT VERIFY

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