Carol Flores Mcshera

Current Employers

Employment History

• 04/2016 → 02/2017
  Kestra Investment Services, Llc
  Newton, MA
• 02/2017 → 05/2018
  Lion Street Financial
  Newton, MA
• 05/2018 → Present
  Fiduciary Investment Advisors
  Windsor, CT

Previous Registrations

• 2018-06-12 → 2020-12-31
  Fiduciary Investment Advisors, Llc
  Windsor, CT
• 2017-02-06 → 2018-05-31
  Lion Street Advisors, Llc
  Newton, MA
• 2016-10-14 → 2017-02-02
  Kestra Advisory Services, Llc
  Austin, TX

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2016-10-04
• S63 Uniform Securities Agent State Law Examination
  2012-07-09

Other Names

• Carol Flores
• Carol Ann Flores