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KH

Karl D. Hering

UNITY WEALTH STRATEGIES
COLORADO SPRINGS, CO 80910
Some features on this profile are disabled
CRD#: 7376500
KH

Professional summary

Karl Douglas Hering is a registered financial advisor currently at UNITY WEALTH STRATEGIES located in Colorado Springs, Colorado.

Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Karl has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Douglas Hering'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

May 5, 2026 - Present

UNITY WEALTH STRATEGIES

Office #1: 2301 E Pikes Peak Ave, Colorado Springs, CO 80910
RIA
CRD#: 332777
COLORADO SPRINGS, CO
Past

April 10, 2023 - April 30, 2026

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Colorado Springs, CO
Past

June 18, 2021 - April 30, 2026

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
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
(5/5/2026)
IAR
Ohio
(5/5/2026)
IAR
Texas
(5/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/18/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2023
Securities Industry Essentials Examination

Current Firm

UW
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)
PREMIUM
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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
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts138
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.

Company Information

UNITY WEALTH STRATEGIES

CRD#: 332777Colorado Springs, CO 80910

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