Carolina N. Ortiz

SHARED VISION WEALTH GROUP

Carlsbad, CA

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CRD#: 4571486

Professional summary

Carolina Nmn Ortiz, CFP®, who also goes by Carolina Cruz, Carolina Ortiz, is a registered financial advisor currently at SHARED VISION WEALTH GROUP located in Carlsbad, California.

Carolina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Carolina has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolina Cruz | Carolina Ortiz

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.

INSURANCE PRODUCER IN CA SINCE 2002. LIC: 0D77381. LESS THAN 5 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolina Nmn Ortiz'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: 2008

Experience

Current

June 16, 2023 - Present

SHARED VISION WEALTH GROUP

RIA

CRD#: 325000

Carlsbad, CA

Past

February 27, 2020 - September 22, 2023

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

CHULA VISTA, CA

Past

January 8, 2018 - March 5, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

CHULA VISTA, CA

Past

July 9, 2013 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

Chula Vista, CA

Past

July 9, 2013 - March 5, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN DIEGO, CA

Past

February 23, 2012 - June 14, 2013

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

CHULA VISTA, CA

Past

February 22, 2012 - June 14, 2013

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

CHULA VISTA, CA

Past

February 15, 2005 - February 23, 2012

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN DIEGO, CA

Past

November 23, 2004 - February 23, 2012

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SAN DIEGO, CA

Past

August 26, 2002 - September 30, 2002

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

SHARED VISION WEALTH GROUP

SHARED VISION WEALTH GROUP | SHARED VISION WEALTH GROUP, LLC

CRD#: 325000 / SEC#: 801-128147

RIA

Registered Investment Advisory firm - (9/25/2023 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

California
(6/16/2023)

IAR

Washington
(6/23/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHARED VISION WEALTH GROUP

SHARED VISION WEALTH GROUP | SHARED VISION WEALTH GROUP, LLC

CRD#: 325000 / SEC#: 801-128147

RIA

Registered Investment Advisory firm - (9/25/2023 Approved)

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Contact information

Main Address

Carlsbad, CA

Mailing Address

Phone number

(760) 349-1750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHARED VISION ADV 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	556
AUM (Assets Under Management)	$ 258,192,606

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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Advisor Monitoring

Firm Stability Insights

Carolina N. Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolina Nmn Ortiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST ASSET MANAGEMENT

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SHARED VISION WEALTH GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2005

Series 63

Date: 9/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2004

Series 6

Date: 8/23/2002

Current Firm

SHARED VISION WEALTH GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHARED VISION WEALTH GROUP

TRUST BUT VERIFY

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