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SB

Shannon L. Bereza

NICOLET WEALTH MANAGEMENT
GREEN BAY, WI 54301
Some features on this profile are disabled
CRD#: 5425932
SB
Shannon L BerezaNICOLET WEALTH MANAGEMENT

Professional summary

Shannon L Bereza, who also goes by Shannon Bereza, Shannon Lynn Schmidt, is a registered financial advisor currently at NICOLET WEALTH MANAGEMENT located in Green Bay, Wisconsin and PRIVATE CLIENT SERVICES, LLC located in Green Bay, Wisconsin.

Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Shannon has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7TO and Series 6 exams.

Aliases

Shannon Bereza | Shannon Lynn Schmidt

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 of the other business: Notary - State of Wisconsin Whether the business is investment-related: Not investment related Address of the other business: Wrightstown, WI 54180 Nature of the other business: Notary Services Title, or relationship with the other business: Self - Notary Start date of your relationship: 09/2018 Approximate number of hours/month you devote to the other business: Less than 1 hour/month Number of hours you devote to the other business during securities trading hours: Less than 1 hour/ month Briefly describe your duties relating to the other business: Notary services for the state of Wisconsin 2) Nicolet Advisory Services, LLC; Investment Related; 111 N. Washington St., Green Bay, WI 54301; RIA; Advisory Client Service Supervisor; Start Date: 07/27/2026; Number of hours/month: 160; Number of hours during securities trading: 160; Working with the client service associates and advisors with questions and guidance overseeing the everyday details of the position.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon L Bereza'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

August 3, 2026 - Present

NICOLET WEALTH MANAGEMENT

Office #1: 111 N. Washington Street, Green Bay, WI 54301
RIA
CRD#: 283940
GREEN BAY, WI
Current

July 30, 2026 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 111 N Washington, Green Bay, WI 54301
RIA
BD
CRD#: 120222
Green Bay, WI
Past

October 7, 2024 - July 27, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
GREEN BAY, WI
Past

August 6, 2024 - July 27, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
GREEN BAY, WI
Past

January 6, 2011 - April 14, 2015

PFS INVESTMENTS INC.

BD
CRD#: 10111
KAUKAUNA, WI
Past

January 23, 2008 - December 31, 2010

PFS INVESTMENTS INC.

BD
CRD#: 10111
KAUKAUNA, WI

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".
NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 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.
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
Wisconsin
(7/30/2026)
IAR
Wisconsin
(8/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/6/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/26/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 Approved)
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Contact information

Main Address
111 N. Washington Street, Green Bay, WI 54301
Mailing Address
Phone number
(920) 430-1400
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWM - RETIREMENT PLAN SERVICES (3/28/2025)
WRAP FEE BROCHURE FOR NICOLET ADVISORY SERVICES, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,809
AUM (Assets Under Management)$ 3,849,158,087

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.

Company Information

NICOLET WEALTH MANAGEMENT

CRD#: 283940Green Bay, WI 54301

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