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Shannon M Cool

Strategic Financial Services

Utica, NY

CRD 7929155

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Employer firm

Strategic Financial Services CRD 109677

$2.81B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Strategic Financial Services

114 Business Park Drive, Utica, NY 13502 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-05-31
  • NY RA
    APPROVED
    Since 2024-05-31

Branch Locations

114 Business Park Drive, Utica, NY 13502 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Strategic Financial Services, Inc. Utica NY 09/2023 Present
Chapter Aesthetic Studio New Hartford NY 06/2022 09/2023
Hannaford Supermarkets Herkimer NY 06/2017 07/2022
Mohawk Valley Community College Utica NY 01/2019 05/2020
Utica University Utica NY 01/2014 06/2017
  • 09/2023 → Present
    Strategic Financial Services, Inc.
    Utica, NY
  • 06/2022 → 09/2023
    Chapter Aesthetic Studio
    New Hartford, NY
  • 06/2017 → 07/2022
    Hannaford Supermarkets
    Herkimer, NY
  • 01/2019 → 05/2020
    Mohawk Valley Community College
    Utica, NY
  • 01/2014 → 06/2017
    Utica University
    Utica, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-24
  • S65 Uniform Investment Adviser Law Examination
    2024-05-24

View on SEC IAPD

Nearby Firms

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARADIGM CONSULTING, INC.
OSAIC WEALTH, INC.

Nearby Investors

DAVID S LEMIRE
DOUGLAS SCOTT WALTERS
Francesca Mae Asher

Nearby Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · UTICA, NY
PARADIGM CONSULTING, INC. · UTICA, NY
OSAIC WEALTH, INC. · UTICA, NY

More in Utica, NY

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