Charisse Rivers

ZINNIA WEALTH ADVISORY

Ocala, FL 34474

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CRD#: 6570638

Professional summary

Charisse Rivers, who also goes by Charisse Marie Rivers, Charisse Rivers Smith, is a registered financial advisor currently at ZINNIA WEALTH ADVISORY, LLC located in Ocala, Florida.

Charisse is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Charisse has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charisse Marie Rivers | Charisse Rivers Smith

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.

(1) Zinnia Wealth Management, LLC, Investment related, 3220 SW 33rd Rd. Ocala, FL 34474, Insurance Agency, Managing Member, 01/01/2012, 80 hours/month, 80 hours/month during trading securities trading hours, Owner/insurance agent. (2) Rivers Property Ocala LLC, Non-Investment related, 3220 SW 33rd Rd. Ocala, FL 34474, Real estate holding company, Managing Member, 10/10/2019, 1 hour/month, 1 hour/month during trading securities trading hours, The LLC owns an office building. No day to day operations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charisse Rivers'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

June 8, 2018 - Present

ZINNIA WEALTH ADVISORY, LLC

Office #1: 3220 Sw 33rd Rd, Ocala, FL 34474

RIA

CRD#: 295122

Ocala, FL

Past

November 2, 2015 - June 28, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Ocala, FL

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".

ZINNIA WEALTH ADVISORY, LLC

ZINNIA WEALTH ADVISORY, LLC | ZINNIA WEALTH MANAGEMENT, LLC | ZINNIA WEALTH MANAGEMENT

CRD#: 295122 / SEC#: 801-132847

RIA

Registered Investment Advisory firm - (5/23/2025 Approved)

Florida

Registered Investment Advisory firm - (5/27/2025 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

Florida
(6/8/2018)

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: 10/5/2015

Uniform Investment Adviser Law Examination

Current Firm

ZINNIA WEALTH ADVISORY, LLC

ZINNIA WEALTH ADVISORY, LLC | ZINNIA WEALTH MANAGEMENT, LLC | ZINNIA WEALTH MANAGEMENT

CRD#: 295122 / SEC#: 801-132847

RIA

Registered Investment Advisory firm - (5/23/2025 Approved)

Florida

Registered Investment Advisory firm - (5/27/2025 Terminated)

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Contact information

Main Address

3220 Sw 33rd Rd, Ocala, FL 34474

Mailing Address

Phone number

(352) 368-3680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-ZINNIA WEALTH ADVISORY, LLC (4/23/2025)

Regulatory assets under management

Total Number of Accounts	1,099
AUM (Assets Under Management)	$ 146,615,000

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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Charisse Rivers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charisse Rivers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZINNIA WEALTH ADVISORY, LLC

BROOKSTONE WEALTH ADVISORS, LLC

Primary Firm SEC Registration

ZINNIA WEALTH ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2015

Current Firm

ZINNIA WEALTH ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZINNIA WEALTH ADVISORY, LLC

TRUST BUT VERIFY

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