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CU

Carole A. Upson

FINANCIAL COACHING PARTNERS LLC
Somis, CA
Some features on this profile are disabled
CRD#: 2954729
CU

Professional summary

Carole Ann Upson is a registered financial advisor currently at FINANCIAL COACHING PARTNERS LLC located in Somis, California.

Carole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carole has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.

top-8-questions

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.
TRST REL SVS/CORP; NO; PRTNR/AGENT; 1/2006; 2;0; REFERRING CLIENTS TO AN ATTORNEY TO OBTAIN A TRUST DOCUMENT OR GATHERING REQUESTED INFORMATION IN COOPERATION WITH THE ATTORNEY. INDEPENDENT CAPITAL MANAGEMENT; YES; SAN CLEMENTE; INSURANCE/CORP; PRTNR/AGNT; 1/1998; 15;1; LIFE AGENT.

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CRS (Client Relationship Summary) - RIA

Click below to view Carole Ann Upson'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

January 29, 2010 - Present

FINANCIAL COACHING PARTNERS LLC

RIA
CRD#: 152306
Somis, CA
Past

October 31, 2005 - December 2, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
TORRANCE, CA
Past

February 8, 2000 - October 29, 2009

INDEPENDENT CAPITAL MANAGEMENT

RIA
CRD#: 121354
TORRANCE, CA
Past

October 6, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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
California
(1/29/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/24/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/2000
General Securities Principal Examination

Current Firm

FC
FINANCIAL COACHING PARTNERS LLC
FINANCIAL COACHING PARTNERS INSURANCE SOLUTIONS, LLC | FINANCIAL COACHING PARTNERS LLC

CRD#: 152306 / SEC#:

California
Registered Investment Advisory firm - (1/29/2010 Approved)
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Contact information

Main Address
Somis, CA
Mailing Address
Phone number
(323) 497-8846
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

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

FINANCIAL COACHING PARTNERS LLC

CRD#: 152306Somis, CA

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