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Joe Maas, CFA, CFP®, CLU, ChFC, MSFS, CCIM, CWPP

Synergy Financial Management, LLC

13231 SE 36th St
Suite 215

Bellevue, WA 98006
(206) 2289671

Principal

About Synergy Financial Management, LLC

Synergy Financial Management, LLC (SFM) is a financial planning and Registered Investment Advisory firm headquartered in Bellevue, WA. The firm specializes in providing fee-based comprehensive financial planning services and investment advice to individuals and businesses. Since Synergy Financial Management, LLC is a fee-based advisor; potential conflicts of interest regarding compensation are removed.

General Information

Firm Start Year

1990

No.of Employees

5-9

CRD#

2170891

Firm CRD#

117201

Name of Custodial Firm

Charles Schwab, TIAA-CREF, Accessor, TD Ameritrade

States Licensed in

All states

Years of Experience in Financial Services

24

Number of Years with Current Firm

15

I work with the following types of clients

Individual Investors, Non-Profit Organizations, Businesses

Foreign Languages Serviced

Spanish (some)

Services

Investment Types

Options & Futures, Stocks, Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Annuities, Insurance, Real Estate, Socially Responsible Investments (SRI)

I can meet clients in the following ways

At my office, At your office, Via email, Via phone, At your home

Compliance

Registered Investment Advisor

Yes

Registered Representative

No

Investment Advisor Representative

No

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CWPP, Masters in Financial Services (MSFS), Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®), Chartered Financial Analyst (CFA), CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses

Series 24, Series 65, Series 7

Insurance and Annuity Licenses

HMO, Annuity, Disability, Health, Long Term Care, Life

Financial Organization Memberships

Society of Financial Services Professionals, Paladin Registry, CCIM Association, Financial Planning Association (FPA)

Firm Information

Firm's Number of Clients

150

Firm's Number of Planning Clients

100

Firm's Number of Managed Clients

150

Assets Managed by Firm

$125,000,000

Advisor's Number of Clients

150

Advisor's Number of Managed Clients

150

Advisor's Number of Planning Clients

100

Assets Managed by Advisor

$125,000,000

Compensation and Fees

Fee Structure

Fee Only

Minimum Portfolio Size for New Managed Accounts

$200,000

Compensation Methods

Hourly

Fee % Based on Assets

.5 to 1.0%

Additional Details on Charges

Our fees are on a scale, based upon the size of the account.

Education

Finance -

Seattle Pacific University
-

Masters in Financial Services -

The American College
-