SS
Steven A. Shorley
TRANSCE3ND LLC
St Peters, MO 63376
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CRD#: 5301881
SS
Professional summary
Steven Andrew Shorley, who also goes by Steven A Shorley, Andy Shorley, is a registered financial advisor currently at TRANSCE3ND LLC located in St Peters, Missouri and MADISON AVENUE SECURITIES, LLC located in St Peters, Missouri.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven A Shorley | Andy Shorley
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) VOLUNTARY BENEFITS OFFERED TO BUSINESSES FOR THEIR EMPLOYEES THROUGH ALLSTATE BENEFITS DBA SHORLEY'S TAX AND ACCOUNTING PROFESSIONALS, LLC 2) L&S CAPITAL INVESTMENTS LLC, dba SUMMIT TAX AND WEALTH ADVISORY LLC; NATURE: TAX PREPARATION SERVICES FOR SUMMIT TAX AND WEALTH ADVISORY. INSURANCE INCLUDING FIXED INDEX ANNUITY AND LIFE INSURANCE. HOURS: 25 A WEEK; START DATE 3) A SHORLEY PHOTO POSITION: Owner NATURE: Photography INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: St. Charles MO 63301, United States DESCRIPTION: Photograph clients, Edit images, Sales, and marketing 4) SUCCESS ONE PROPERTIES, LLC. POSITION: PARTNER; DESCRIPTION: REAL ESTATE HOLDING; INVESTMENT RELATED: NO; HOURS: 2 HOURS/MONTH; START DATE: 08/13/2020 ADDRESS: 1441 TRIAD CENTER DRIVE, SAINT PETERS, MO 63376 5.) MADISON AVENUE SECURITIES: YES, INVESTMENT RELATED; 13500 EVENING CREEK DRIVE N SUITE 555, SAN DIEGO CA 92128; SECURITIES SALES; REGISTERED REPRESENTATIVE; START DATE 07/2022. 6) Name: Transce3nd, LLC; Address: 835 MAIN STREET, BUILDING #2, BUDA, TX 78610; Investment Related: Yes; Position: Registered Represented; Duties: Registered Investment Advisory; Hours per week: 40 Hours; Start Date: 07/2023
CRS (Client Relationship Summary) - RIA
Click below to view Steven Andrew Shorley's 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®
NoneExperience
Current
May 22, 2023 - Present
TRANSCE3ND LLC
Office #1: 1441 Triad Center Dr, St Peters, MO 63376RIA
CRD#: 317745
St Peters, MO
Current
July 31, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1441 Triad Center Drive, St Peters, MO 63376RIA
BD
CRD#: 23224
St Peters, MO
Past
August 1, 2022 - October 2, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Saint Peters, MO
Past
March 2, 2020 - August 1, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
Ellisville, MO
Past
August 16, 2019 - August 1, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
St. Peters, MO
Past
May 18, 2007 - June 26, 2008
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
TL
TRANSCE3ND LLC
ADVANCED PLANNING SOLUTIONS, LLC | WEALTH STRATEGIES ADVISORY GROUP, LLC | TRANSCE3ND, LLC | TRANSCE3ND LLC | THE RICKS GROUP | SUREFIRE FINANCIAL, INC. | SUMMIT TAX AND WEALTH ADVISORY, LLC | MUNOZ FINANCIAL LLC | MUNDT WEALTH MANAGEMENT | GREENWAY FINANCIAL GROUP | FINE FUTURE FINANCIAL | E3 WEALTH | E3 RETIREMENT SELECT | E3 CONSULTANTS GROUP | ALEXANDER FINANCIAL MANAGEMENT, LLC
CRD#: 317745 / SEC#: 801-126674
RIA
Registered Investment Advisory firm - (9/30/2022 Approved)Texas
Registered Investment Advisory firm - (10/3/2022 Terminated)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.RR
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
RR
Missouri(8/1/2022)
IAR
Missouri(5/22/2023)
IAR
Texas(5/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TL
TRANSCE3ND LLC
ADVANCED PLANNING SOLUTIONS, LLC | WEALTH STRATEGIES ADVISORY GROUP, LLC | TRANSCE3ND, LLC | TRANSCE3ND LLC | THE RICKS GROUP | SUREFIRE FINANCIAL, INC. | SUMMIT TAX AND WEALTH ADVISORY, LLC | MUNOZ FINANCIAL LLC | MUNDT WEALTH MANAGEMENT | GREENWAY FINANCIAL GROUP | FINE FUTURE FINANCIAL | E3 WEALTH | E3 RETIREMENT SELECT | E3 CONSULTANTS GROUP | ALEXANDER FINANCIAL MANAGEMENT, LLC
CRD#: 317745 / SEC#: 801-126674
RIA
Registered Investment Advisory firm - (9/30/2022 Approved)Texas
Registered Investment Advisory firm - (10/3/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
835 Main Street Building 200, Buda, TX 78610
Mailing Address
Phone number
(512) 268-9220
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,518 |
| AUM (Assets Under Management) | $ 361,954,267 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSCE3ND LLC
CRD#: 317745St Peters, MO 63376TRUST BUT VERIFY
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