Ashlee V. Merkley

SEROS FINANCIAL

Tempe, AZ 85282

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CRD#: 7065046

Professional summary

Ashlee Victoria Merkley, who also goes by Ashlee VIctoria Edens, Ashlee Edens, Ashlee Merkley, is a registered financial advisor currently at SEROS FINANCIAL, LLC located in Tempe, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Tempe, Arizona.

Ashlee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Ashlee has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ashlee Victoria Edens | Ashlee Edens | Ashlee Merkley

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.) INDEPENDENT INSURANCE AGENT - AGENT - NON-VARIABLE INSURANCE - TEMPE, AZ - SINCE 01/2021 - INVESTMENT RELATED 2.) SEROS FINANCIAL - RECEPTIONIST - EMPLOYEE - TEMPE, AZ - SINCE 01/2019 - NOT INVESTMENT RELATED 3.) SEROS FINANCIAL, LLC - CLIENT SERVICING ASSOCIATE - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 01/2019 - INVESTMENT RELATED 4.) SEROS FINANCIAL - CLIENT SERVICING ASSOCIATE - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 08/2022 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashlee Victoria Merkley'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

November 3, 2021 - Present

SEROS FINANCIAL, LLC

Office #1: 2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

RIA

CRD#: 166808

Tempe, AZ

Current

September 17, 2021 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 2141 E Broadway Rd Ste 220, Tempe, AZ 85282

RIA

CRD#: 20804

Tempe, AZ

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".

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 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.

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

Arizona
(10/18/2021)

IAR

Arizona
(11/3/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/17/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/7/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

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Contact information

Main Address

2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

Mailing Address

Phone number

(480) 967-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEROS FINANCIAL, LLC (11/11/2025)

Regulatory assets under management

Total Number of Accounts	990
AUM (Assets Under Management)	$ 301,058,504

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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Ashlee V. Merkley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashlee Victoria Merkley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEROS FINANCIAL, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Primary Firm SEC Registration

SEROS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2021

Series 7TO

Date: 9/17/2021

SIE

Date: 7/7/2021

FINRA

Current Firm

SEROS FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEROS FINANCIAL, LLC

TRUST BUT VERIFY

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