Shelly Maas has been an investment adviser representative at Sunrise Financial Services since February 2024, and is not listed among the firm’s executive officers or direct owners.
Sunrise Financial Services LLC is a Burien, WA firm with $151M under management, 271 clients and 3 advisers in one office, as of its April 2026 filing.
Shelly Maas’ longest registration was 8 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2012–2021). Before joining Sunrise Financial Services in 2024, Shelly Maas was registered through Madison Avenue Securities, LLC and Empower Advisory Group, LLC.
- – present · 2 yearsBurien, WA · Adviser representative · Firm CRD 325955
- Madison Avenue Securities, LLC– · 2 yearsSan Diego, CA · Adviser representative · Firm CRD 23224
- Empower Advisory Group, LLC– · under a yearTacoma, WA · Adviser representative · Firm CRD 112058
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 8 yearsTacoma, WA · Adviser representative · Firm CRD 7691
- Metlife Securities Inc.– · under a yearTacoma, WA · Adviser representative · Firm CRD 14251
- Forward Management, LLC– · 3 yearsSeattle, WA · Adviser representative · Firm CRD 109193
- Accessor Capital Management LP– · 3 yearsSeattle, WA · Adviser representative · Firm CRD 104587
- Banc of America Investment Services, Inc.– · under a yearSeattle, WA · Adviser representative · Firm CRD 16361
Investment adviser representative registrations
Shelly Maas is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in February 2024.
- TexasResidentSince 27 February 2024
- WashingtonSince 23 February 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 9 July 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 August 1996 |
| Series 7 | General Securities Representative Examination | 20 June 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shelly M Maas
- CRD
- 2750543
- Firm
- Sunrise Financial Services · CRD 325955
- Office
- 431 SW AMBAUM BLVD, Burien, WA 98166
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1997
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Shelly Maas work?
Shelly Maas is an investment adviser representative registered through Sunrise Financial Services LLC since February 2024, and is not listed among the firm’s executive officers or direct owners.
Is Shelly Maas a financial advisor?
Yes. Shelly Maas has a current investment-adviser registration in Texas and Washington, through Sunrise Financial Services since February 2024.
How many years of experience does Shelly Maas have?
Shelly Maas has 29 years in the financial industry, since September 1997, across 8 adviser firms.
What exams has Shelly Maas passed?
Shelly Maas has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in June 1996. FINRA credited Shelly Maas with the SIE, which began in October 2018.
Where did Shelly Maas work before Sunrise Financial Services?
Before Sunrise Financial Services, Shelly Maas was registered through Empower Advisory Group, LLC, November 2021 to August 2022; Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2012 to June 2021; Metlife Securities Inc., June 2012 to August 2012; Forward Management, LLC, September 2008 to March 2012; Accessor Capital Management LP, October 2004 to September 2008; Banc of America Investment Services, Inc., December 2002 to September 2003.
Where is Shelly Maas based?
Shelly Maas’ registered office is in Burien, WA.
Is Shelly Maas registered with FINRA?
Yes. Shelly Maas has a current broker registration, under CRD 2750543.
Source: FINRA BrokerCheck
How can I verify Shelly Maas’ record?
Search CRD 2750543 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Shelly Maas’ full registration record.