Unclaimed Profile

Richard Kelly Shields

SYNERGY FINANCIAL GROUP OF ARIZONA, LLC·SCOTTSDALE, Arizona

SIE, Series 5, Series 7, Series 9, Series 10, Series 15, Series 24, Series 63, Series 65CFPClean record24 years registeredSYNERGY FINANCIAL GROUP OF ARIZONA, LLC

8283 N. HAYDEN RD., SCOTTSDALE, AZ 85258CRD# 1014307Firm CRD# 153675

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Kelly Shields · SCOTTSDALE, AZ

Registration

CRD #1014307 · SYNERGY FINANCIAL GROUP OF ARIZONA, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SYNERGY FINANCIAL GROUP OF ARIZONA, LLC

LPL FINANCIAL LLC

May 2023 – Apr 2024

SCOTTSDALE, AZ

SYNERGY FINANCIAL GROUP OF ARIZONA, LLC

May 2010 – Aug 2023

SCOTTSDALE, AZ

THE PLANNING GROUP

Feb 2005 – Jun 2011

SCOTTSDALE, AZ

HSL FINANCIAL GROUP

Feb 2004 – Feb 2005

SCOTTSDALE, AZ

RBC DAIN RAUSCHER INC.

Mar 2002 – Feb 2004

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 5

Series 7

Series 9

Series 10

Series 15

Series 24

Series 63

Series 65

Registration record

First registered · March 9, 2002

Years registered · 24

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SYNERGY FINANCIAL GROUP OF ARIZONA, LLC

CRD 153675 · SEC 801-71423

AUM

$71M

Regulatory assets under management

Employees

573 client accounts

Services offered by SYNERGY FINANCIAL GROUP OF ARIZONA, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SYNERGY FINANCIAL GROUP OF ARIZONA, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Kelly Shields offer?

Richard Kelly Shields specializes in Financial Planning, Investment Management, Retirement Planning, Fee-Only Advisory.

What are Richard Kelly Shields's credentials?

Richard Kelly Shields holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Richard Kelly Shields located?

Richard Kelly Shields is based in SCOTTSDALE, Arizona, last registered with SYNERGY FINANCIAL GROUP OF ARIZONA, LLC.

How does Richard Kelly Shields charge for services?

Richard Kelly Shields's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SYNERGY FINANCIAL GROUP OF ARIZONA, LLC?

SYNERGY FINANCIAL GROUP OF ARIZONA, LLC has approximately 6 employees and manages $71M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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