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Carol E. Christie

COLEFP
SARASOTA, FL
Some features on this profile are disabled
CRD#: 5516350
CC

Professional summary

Carol Elizabeth Christie is a registered financial advisor currently at COLEFP located in Sarasota, Florida.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Carol has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
FREE TO BE FINANCE; NOT INVESTMENT RELATED; SARASOTA, FL; FINANCIAL COACH; START: 09/2020; APPROX 2 HRS/MO OUTSIDE TRADING HOURS; CONSULT ON FINANCIAL COACHING TOPICS, NOT RELATED TO SECURITIES TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Elizabeth Christie's 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®
None

Experience

Current

September 2, 2022 - Present

COLEFP

RIA
CRD#: 132562
SARASOTA, FL
Past

September 16, 2008 - January 14, 2010

TRUE BLUE FINANCIAL COACHING

RIA
CRD#: 146983
SARASOTA, FL

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
Alabama
(9/2/2022)
IAR
Florida
(6/20/2023)
IAR
Louisiana
(9/2/2022)
IAR
Texas
(9/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/28/2008
Uniform Investment Adviser Law Examination

Current Firm

CO
COLEFP
COLE FINANCIAL PLANNING | COLEFP | COLE, SCOTT DOUGLAS | COLE FINANCIAL PLANNING AND WEALTH MANAGEMENT, INC. | COLE FINANCIAL PLANNING AND WEALTH MANAGEMENT, INC

CRD#: 132562 / SEC#:

Alabama
Registered Investment Advisory firm - (9/28/2004 Approved)
Florida
Registered Investment Advisory firm - (5/15/2023 Approved)
Louisiana
Registered Investment Advisory firm - (8/19/2019 Approved)
Texas
Registered Investment Advisory firm - (9/27/2017 Conditional Restricted)
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Contact information

Main Address
Hoover, AL
Mailing Address
P.o. Box 36608, Birmingham, AL 35236
Phone number
(205) 477-5118
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts225
AUM (Assets Under Management)$ 72,933,403

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.

Company Information

COLEFP

CRD#: 132562Sarasota, FL

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