Corey S. Sunstrom

HOBART WEALTH

Charlotte, NC 28277

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CRD#: 5091590

Professional summary

Corey Scott Sunstrom, CFP®, who also goes by Carey Scott Sunstrom, is a registered financial advisor currently at HOBART WEALTH located in Charlotte, North Carolina.

Corey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Corey has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carey Scott Sunstrom

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 - INVESTMENT-RELATED - START DATE 12/2013 - 10 HOURS/WEEK DURING TRADING HOURS - SALE OF INSURANCE PRODUCTS 2) GARDNER-WEBB UNIVERSITY, NOT INVESTMENT RELATED, 110 SOUTH MAIN ST, PO BOX 997, BOILING SPRINGS, NC 28017, ADJUNCT PROFESSOR OF CLASSES RELATED TO ESTATE PLANNING, SINCE 08/2018, DEVOTE 15 HOURS PER MONTH OUTSIDE OF TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Scott Sunstrom'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

Experience

Current

February 6, 2015 - Present

HOBART WEALTH

Office #1: 7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

RIA

CRD#: 168494

Charlotte, NC

Past

October 15, 2014 - November 30, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CHARLOTTE, NC

Past

October 15, 2014 - February 20, 2018

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

CHARLOTTE, NC

Past

November 19, 2012 - September 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

October 19, 2012 - September 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

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".

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(2/6/2015)

IAR

Texas
(5/24/2023)

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: 11/16/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/2012

General Securities Representative Examination

Current Firm

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

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Contact information

Main Address

7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

Mailing Address

Phone number

(888) 553-0122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOBART PRIVATE CAPITAL FIRM BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,891
AUM (Assets Under Management)	$ 429,701,468

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

Corey S. Sunstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Scott Sunstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HOBART WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2012

SIE

Date: 2/20/2018

Series 7

Date: 10/18/2012

Current Firm

HOBART WEALTH

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOBART WEALTH

TRUST BUT VERIFY

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