Shari R. Carlson

UNITY WEALTH STRATEGIES

COLORADO SPRINGS, CO

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CRD#: 7079009

Professional summary

Shari Rene Carlson is a registered financial advisor currently at UNITY WEALTH STRATEGIES located in Colorado Springs, Colorado.

Shari is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Shari has worked at 5 firms and has passed the Series 65 exam.

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.

Shari Carlson is currently employed as a Trainer at Balancing Life's Issues. This activity primarily takes place outside of trading hours. Shari Carlson is currently employed as a Substitute Teacher at the Harrison School District 2. This activity accounts for approximately 5% of her time during trading hours. Shari Carlson currently serves as a parent provider community connector for S Carlson Care Provider. This activity accounts for approximately 25% of her time during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shari Rene Carlson's CRS (Customer Relationship Summary).

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

COLORADO SPRINGS, CO

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

Colorado
(9/5/2024)

IAR

Ohio
(8/21/2024)

IAR

Texas
(11/4/2024)

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 65

Date: 7/10/2019

Uniform Investment Adviser Law Examination

Current Firm

UNITY WEALTH STRATEGIES

PHOENIX FISCAL INC | UNITY WEALTH STRATEGIES | PHOENIX FISCAL INC DBA UNITY WEALTH STRATEGIES

CRD#: 332777 / SEC#:

Colorado

Registered Investment Advisory firm - (9/5/2024 Approved)

Ohio

Registered Investment Advisory firm - (8/15/2024 Approved)

Texas

Registered Investment Advisory firm - (10/28/2024 Conditional Restricted)

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Contact information

Main Address

Colorado Springs, CO

Mailing Address

2301 E Pikes Peak Ave, Colorado Springs, CO 80910

Phone number

(719) 602-1221

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 6,687,031

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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Shari R. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shari Rene Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITY WEALTH STRATEGIES

CREATIVE FINANCIAL SERVICES, INC

MODERN FINANCIAL

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2019

Current Firm

UNITY WEALTH STRATEGIES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNITY WEALTH STRATEGIES

TRUST BUT VERIFY

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