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Shelby Newell

Shelby Newell

FORVIS MAZARS WEALTH ADVISORS
Tempe, AZ 85288
Some features on this profile are disabled
CRD#: 6666626
Shelby Newell

Professional summary

Shelby Newell, CFP®, who also goes by Shelby H G Newell, is a registered financial advisor currently at FORVIS MAZARS WEALTH ADVISORS, LLC located in Tempe, Arizona.

Shelby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Shelby has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shelby H G Newell

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 Shelby Newell'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

Start date: 2022

Experience

Current

December 2, 2019 - Present

FORVIS MAZARS WEALTH ADVISORS, LLC

Office #1: 999 E Playa Del Norte Drive Suite 410, Tempe, AZ 85288Office #2: 1875 Century Park East Suite 880, Los Angeles, CA 90067Office #3: 2020 Main Street 10th Floor, Irvine, CA 92614
RIA
CRD#: 110905
Tempe, AZ
Past

November 20, 2018 - November 27, 2019

MORGAN STANLEY

RIA
CRD#: 149777
INDIANAPOLIS, IN
Past

October 19, 2018 - November 27, 2019

MORGAN STANLEY

BD
CRD#: 149777
INDIANAPOLIS, IN
Past

October 31, 2016 - October 30, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN

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".
FM
FORVIS MAZARS WEALTH ADVISORS, LLC
BKD INVESTMENT ADVISORS LLC | FORVIS WEALTH ADVISORS, LLC | FORVIS PRIVATE CLIENT | FORVIS MAZARS WEALTH ADVISORS, LLC | FORVIS MAZARS WEALTH ADVISORS | FORVIS MAZARS PRIVATE CLIENT | BKDWA | BKDIA | BKD 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
Arizona
(9/25/2024)
IAR
California
(12/12/2024)
IAR
Texas
(1/4/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/20/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/17/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/23/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

FM
FORVIS MAZARS WEALTH ADVISORS, LLC
BKD INVESTMENT ADVISORS LLC | FORVIS WEALTH ADVISORS, LLC | FORVIS PRIVATE CLIENT | FORVIS MAZARS WEALTH ADVISORS, LLC | FORVIS MAZARS WEALTH ADVISORS | FORVIS MAZARS PRIVATE CLIENT | BKDWA | BKDIA | BKD 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts13,227
AUM (Assets Under Management)$ 9,751,986,659

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905Tempe, AZ 85288

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