Audrey Fersten

FORVIS MAZARS WEALTH ADVISORS

Houston, TX 77056

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CRD#: 4743523

Professional summary

Audrey Fersten, CFP®, who also goes by Audrey Ferstenfeld, Audrey Sabloff, is a registered financial advisor currently at FORVIS MAZARS WEALTH ADVISORS, LLC located in Houston, Texas.

Audrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Audrey has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Audrey Ferstenfeld | Audrey Sabloff

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Audrey Fersten'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

Experience

Current

January 8, 2021 - Present

FORVIS MAZARS WEALTH ADVISORS, LLC

Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056

RIA

CRD#: 110905

Houston, TX

Past

October 15, 2018 - July 24, 2020

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

April 3, 2018 - July 24, 2020

USCA SECURITIES LLC

CRD#: 103789

HOUSTON, TX

Past

July 31, 2013 - August 12, 2014

AVALON WEALTH MANAGEMENT LLC

CRD#: 162745

HOUSTON, TX

Past

May 20, 2013 - August 12, 2014

AVALON INVESTMENT & ADVISORY

RIA

CRD#: 112556

HOUSTON, TX

Past

October 19, 2006 - June 14, 2011

BRIDGEWAY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 111441

HOUSTON, TX

Past

January 2, 2004 - June 13, 2011

FORESIDE FUND SERVICES, LLC

CRD#: 46106

HOUSTON, TX

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".

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 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
(1/8/2021)

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: 5/18/2018

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/4/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2002

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: 4/3/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 Approved)

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Contact information

Main Address

910 East St Louis St, Springfield, MO 65806

Mailing Address

Phone number

(417) 831-7283

Established

Firm type

Fiscal year end

# of Employees

123

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 082025 (8/20/2025)

Regulatory assets under management

Total Number of Accounts	13,227
AUM (Assets Under Management)	$ 9,751,986,659

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
09/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
11/21/2022	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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Firm Stability Insights

Audrey Fersten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Audrey Fersten's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA RIA LLC

USCA SECURITIES LLC

AVALON WEALTH MANAGEMENT LLC

AVALON INVESTMENT & ADVISORY

BRIDGEWAY CAPITAL MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

Primary Firm SEC Registration

FORVIS MAZARS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2018

Series 65

Date: 6/4/2009

Series 63

Date: 12/20/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/3/2018

Series 6

Date: 9/27/2002

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORVIS MAZARS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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