Carol F. Mcshera

FIDUCIENT ADVISORS LLC

WINDSOR, CT 06095

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CRD#: 6051262

Professional summary

Carol Flores Mcshera, who also goes by Carol Ann Flores, Carol Flores, is a registered financial advisor currently at FIDUCIENT ADVISORS LLC located in Windsor, Connecticut.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Carol has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Ann Flores | Carol Flores

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.

Business Name: Sapers & Wallack Investment Related: Yes; 275 Washington Street, Suite 110 Newton MA 02458 Nature of Business: Insurance and retirement planning;Retirement Plan Consultant Start Date: 4/4/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I provide fiduciary advice to retirement plan committees as well as review and recommend mutual fund vehicles to be held within the defined contribution retirement plans. I also provide one-on-one guidance to participants on their retirement account asset allocations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Flores Mcshera'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®

None

Experience

Current

September 8, 2020 - Present

FIDUCIENT ADVISORS LLC

Office #1: 100 Northfield Drive, Windsor, CT 06095

RIA

CRD#: 106720

WINDSOR, CT

Past

June 12, 2018 - December 31, 2020

FIDUCIARY INVESTMENT ADVISORS, LLC

RIA

CRD#: 140675

WINDSOR, CT

Past

February 6, 2017 - May 31, 2018

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

NEWTON, MA

Past

February 1, 2017 - May 31, 2018

LION STREET FINANCIAL, LLC

CRD#: 165828

NEWTON, MA

Past

October 14, 2016 - February 2, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Austin, TX

Past

June 6, 2016 - February 2, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

NEWTON, MA

Past

June 18, 2012 - April 4, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

BOSTON, MA

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".

FIDUCIENT ADVISORS LLC

DIMEO SCHNEIDER & ASSOCIATES LLC | FIDUCIENT ADVISORS LLC

CRD#: 106720 / SEC#: 801-48820

RIA

Registered Investment Advisory firm - (3/27/1995 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

Connecticut
(9/8/2020)

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: 10/4/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2012

General Securities Representative Examination

Current Firm

FIDUCIENT ADVISORS LLC

DIMEO SCHNEIDER & ASSOCIATES LLC | FIDUCIENT ADVISORS LLC

CRD#: 106720 / SEC#: 801-48820

RIA

Registered Investment Advisory firm - (3/27/1995 Approved)

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Contact information

Main Address

500 W Madison Street Suite 3260, Chicago, IL 60661-4593

Mailing Address

Phone number

(312) 853-1000

Established

Firm type

Fiscal year end

# of Employees

218

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDUCIENT ADVISORS LLC PART 2A (11/25/2025)

Regulatory assets under management

Total Number of Accounts	1,150
AUM (Assets Under Management)	$ 67,638,977,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/30/2024	Cover Page	Report
11/14/2023	Cover Page	Report
01/23/2023	Cover Page	Report

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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Firm Stability Insights

Carol F. Mcshera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Flores Mcshera's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDUCIARY INVESTMENT ADVISORS, LLC

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

Primary Firm SEC Registration

FIDUCIENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2016

Series 63

Date: 7/9/2012

SIE

Date: 5/31/2018

Series 7

Date: 6/16/2012

Current Firm

FIDUCIENT ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIDUCIENT ADVISORS LLC

TRUST BUT VERIFY

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