Amy E. Zellner

SUGAR MAPLE ASSET MANAGEMENT

Sister Bay, WI 54234

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CRD#: 6282372

Professional summary

Amy Ellen Zellner is a registered financial advisor currently at SUGAR MAPLE ASSET MANAGEMENT, LLC located in Sister Bay, Wisconsin.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Amy has worked at 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Ellen Zellner'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

May 5, 2021 - Present

SUGAR MAPLE ASSET MANAGEMENT, LLC

Office #1: 2580 S Bay Shore Drive Suite C, Sister Bay, WI 54234

RIA

CRD#: 282632

Sister Bay, WI

Past

November 21, 2018 - April 30, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GREENBAY, WI

Past

November 21, 2018 - April 30, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

GREENBAY, WI

Past

September 24, 2018 - November 19, 2018

NICOLET WEALTH MANAGEMENT

RIA

CRD#: 283940

GREEN BAY, WI

Past

January 3, 2018 - November 15, 2018

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Green Bay, WI

Past

June 3, 2016 - December 31, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

GREEN BAY, WI

Past

June 3, 2016 - December 31, 2017

SII INVESTMENTS, INC.

CRD#: 2225

GREEN BAY, WI

Past

December 1, 2014 - September 26, 2016

ADMIRAL ASSET MANAGEMENT, LLC

RIA

CRD#: 163093

STURGEON BAY, WI

Past

June 11, 2014 - June 15, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

GREEN BAY, WI

Past

April 11, 2014 - June 15, 2016

LPL FINANCIAL LLC

CRD#: 6413

GREEN BAY, 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".

SUGAR MAPLE ASSET MANAGEMENT, LLC

CRD#: 282632 / SEC#: 801-126457

RIA

Registered Investment Advisory firm - (8/29/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (9/1/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(11/27/2023)

IAR

Wisconsin
(5/5/2021)

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: 6/6/2014

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: 4/10/2014

General Securities Representative Examination

Current Firm

SUGAR MAPLE ASSET MANAGEMENT, LLC

CRD#: 282632 / SEC#: 801-126457

RIA

Registered Investment Advisory firm - (8/29/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (9/1/2022 Terminated)

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Contact information

Main Address

2580 S Bay Shore Drive Suite C, Sister Bay, WI 54234

Mailing Address

Po Box 3, Peshtigo, WI 54157

Phone number

(920) 585-4985

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUGAR MAPLE ASSET MANAGEMENT, LLC ADV PART II (10/8/2025)

Regulatory assets under management

Total Number of Accounts	205
AUM (Assets Under Management)	$ 259,047,603

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

Amy E. Zellner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Ellen Zellner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

NICOLET WEALTH MANAGEMENT

PRIVATE CLIENT SERVICES, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

ADMIRAL ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

SUGAR MAPLE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2014

SIE

Date: 10/1/2018

Series 7

Date: 4/10/2014

Current Firm

SUGAR MAPLE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUGAR MAPLE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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