Caroline J. Magsaysay

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CRD#: 1101243

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Caroline June Magsaysay, who also goes by Caroline June Mcclelland, Caroline June Saric, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 1983. Caroline had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Caroline June Mcclelland | Caroline June Saric

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2010 - January 10, 2020

FIRST FINANCIAL COACHING, INC.

RIA

CRD#: 152070

CHICAGO, IL

Past

February 4, 2010 - December 31, 2017

TRIAD ADVISORS LLC

CRD#: 25803

CHICAGO, IL

Past

February 23, 2006 - February 9, 2010

OSAIC FS, INC.

RIA

CRD#: 3870

CHICAGO, IL

Past

July 15, 2004 - February 9, 2010

OSAIC FS, INC.

CRD#: 3870

CHICAGO, IL

Past

January 20, 1999 - December 4, 2003

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

November 14, 1991 - January 25, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

October 25, 1990 - April 6, 1993

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

September 13, 1989 - September 13, 1990

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

May 4, 1989 - October 10, 1989

UR FINANCIAL, INC.

CRD#: 10509

Past

August 15, 1985 - August 9, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 23, 1983 - August 7, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

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".

FIRST FINANCIAL COACHING, INC.

FFC | YOUR FINANCIAL COACH, INC. | FIRST FINANCIAL COACHING, INC. | FIRST FINANCIAL COACHING

CRD#: 152070 / SEC#: 801-128612

RIA

Registered Investment Advisory firm - (8/30/2023 Approved)

Arizona

Registered Investment Advisory firm - (9/5/2023 Terminated)

California

Registered Investment Advisory firm - (10/5/2023 Terminated)

Delaware

Registered Investment Advisory firm - (9/6/2023 Terminated)

Florida

Registered Investment Advisory firm - (9/5/2023 Terminated)

Georgia

Registered Investment Advisory firm - (9/11/2023 Terminated)

Illinois

Registered Investment Advisory firm - (9/5/2023 Terminated)

Indiana

Registered Investment Advisory firm - (9/8/2023 Terminated)

Kentucky

Registered Investment Advisory firm - (9/5/2023 Terminated)

Michigan

Registered Investment Advisory firm - (9/19/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (9/28/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (9/5/2023 Terminated)

Texas

Registered Investment Advisory firm - (9/5/2023 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/5/2023 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/10/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/1992

General Securities Principal Examination

Current Firm

FIRST FINANCIAL COACHING, INC.

FFC | YOUR FINANCIAL COACH, INC. | FIRST FINANCIAL COACHING, INC. | FIRST FINANCIAL COACHING

CRD#: 152070 / SEC#: 801-128612

RIA

Registered Investment Advisory firm - (8/30/2023 Approved)

Arizona

Registered Investment Advisory firm - (9/5/2023 Terminated)

California

Registered Investment Advisory firm - (10/5/2023 Terminated)

Delaware

Registered Investment Advisory firm - (9/6/2023 Terminated)

Florida

Registered Investment Advisory firm - (9/5/2023 Terminated)

Georgia

Registered Investment Advisory firm - (9/11/2023 Terminated)

Illinois

Registered Investment Advisory firm - (9/5/2023 Terminated)

Indiana

Registered Investment Advisory firm - (9/8/2023 Terminated)

Kentucky

Registered Investment Advisory firm - (9/5/2023 Terminated)

Michigan

Registered Investment Advisory firm - (9/19/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (9/28/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (9/5/2023 Terminated)

Texas

Registered Investment Advisory firm - (9/5/2023 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/5/2023 Terminated)

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Contact information

Main Address

144 South Main St., Mt. Clemens, MI 48043

Mailing Address

Phone number

(586) 463-1880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/21/2025)

Regulatory assets under management

Total Number of Accounts	1,877
AUM (Assets Under Management)	$ 279,664,257

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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Advisor Monitoring

Firm Stability Insights

Caroline J. Magsaysay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

OSAIC FS, INC.

OSAIC FS, INC.

LASALLE FINANCIAL SERVICES, INC.

CITICORP INVESTMENT SERVICES

FINANCIAL HORIZONS SECURITIES CORPORATION

CAL FED INVESTMENTS

UR FINANCIAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FIRST FINANCIAL COACHING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2005

Series 63

Date: 3/28/1983

SIE

Date: 12/31/2017

Series 7

Date: 3/19/1983

Series 24

Date: 1/13/1992

Current Firm

FIRST FINANCIAL COACHING, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST FINANCIAL COACHING, INC.

TRUST BUT VERIFY

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