Carrie W. Shapiro

CAP STRAT

Oakbrook Terrace, IL 60181

Some features on this profile are disabled

CRD#: 6796405

Professional summary

Carrie Walters Shapiro, who also goes by Carrie Anne Walkers, Carrie Anne Walters, Carrie Ann Walters, is a registered financial advisor currently at CAP STRAT located in Oakbrook Terrace, Illinois and SAGEVIEW ADVISORY GROUP, LLC located in Oakbrook Terrace, Illinois.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Carrie has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carrie Anne Walkers | Carrie Anne Walters | Carrie Ann Walters

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Walters Shapiro'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

April 25, 2025 - Present

CAP STRAT

Office #1: One Parkview Plaza Suite 620, Oakbrook Terrace, IL 60181

RIA

CRD#: 150091

Oakbrook Terrace, IL

Current

July 23, 2025 - Present

SAGEVIEW ADVISORY GROUP, LLC

Office #1: One Parkview Plaza Suite 117, Oakbrook Terrace, IL 60181

RIA

CRD#: 126777

Oakbrook Terrace, IL

Past

June 18, 2020 - October 25, 2021

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

CHICAGO, IL

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 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

California
(7/23/2025)

IAR

Florida
(8/22/2025)

IAR

Georgia
(8/27/2025)

IAR

Illinois
(4/25/2025)

IAR

Iowa
(7/23/2025)

IAR

Kansas
(7/23/2025)

IAR

Maine
(7/23/2025)

IAR

Michigan
(7/23/2025)

IAR

Nevada
(7/24/2025)

IAR

New York
(7/23/2025)

IAR

North Carolina
(7/23/2025)

IAR

Pennsylvania
(7/23/2025)

IAR

South Carolina
(7/23/2025)

IAR

Texas
(4/25/2025)

IAR

Virginia
(7/23/2025)

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

Series 63

Date: 8/24/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/1/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/17/2019

Securities Industry Essentials Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carrie W. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Walters Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAP STRAT

SAGEVIEW ADVISORY GROUP, LLC

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/2020

Series 7TO

Date: 12/1/2022

SIE

Date: 12/17/2019

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

Similar Advisors