Shane M. Knoll

PUBLIC SAFETY FINANCIAL/GALLOWAY

Mesa, AZ 85201

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CRD#: 4689944

Professional summary

Shane Michael Knoll is a registered financial advisor currently at PUBLIC SAFETY FINANCIAL/GALLOWAY located in Mesa, Arizona and MODERN WEALTH MANAGEMENT, LLC located in Mesa, Arizona.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Shane has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Color Street. Not Investment Related. 61 Kuller Road, Clifton NY 07011. Sell Nail Polish. Stylist Consultant. Start 6/2020. 1 hour per month not during trading. Sell and deliver nail polish.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Michael Knoll'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

September 25, 2013 - Present

PUBLIC SAFETY FINANCIAL/GALLOWAY

Office #1: 1138 N Alma School Rd Suite 201, Mesa, AZ 85201

RIA

CRD#: 141091

Mesa, AZ

Current

August 29, 2025 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 1138 N Alma School Rd, Mesa, AZ 85201

RIA

CRD#: 324624

MESA, AZ

Past

September 2, 2014 - October 10, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Mesa, AZ

Past

September 20, 2013 - December 23, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MESA, AZ

Past

October 1, 2012 - July 23, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

GILBERT, AZ

Past

October 1, 2012 - July 23, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

GILBERT, AZ

Past

March 30, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

GILBERT, AZ

Past

July 11, 2005 - March 21, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

GILBERT, AZ

Past

July 11, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

GILBERT, AZ

Past

October 18, 2004 - June 15, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 25, 2003 - September 8, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 25, 2003 - September 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 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

Arizona
(10/3/2013)

IAR

Texas
(7/22/2021)

IAR

Texas
(8/29/2025)

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: 10/7/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2003

General Securities Representative Examination

Current Firm

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

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Contact information

Main Address

13550 W 95th St., Lenexa, KS 66227

Mailing Address

Phone number

(913) 393-1000

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18,823
AUM (Assets Under Management)	$ 6,148,915,787

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

Shane M. Knoll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Michael Knoll's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2003

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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