Carol J. Patrick

Some features on this profile are disabled

CRD#: 3108608

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.

Carol Jolene Patrick, who also goes by Carol J Cox, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 1998. Carol had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol J Cox

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

December 2, 2003 - June 13, 2019

ASSET PLANNING, INC

RIA

CRD#: 111535

CYPRESS, CA

Past

January 9, 2003 - September 30, 2003

FINANCIAL TELESIS INC

CRD#: 31012

SAN RAFAEL, CA

Past

October 23, 1998 - December 31, 2000

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

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".

ASSET PLANNING, INC

CRD#: 111535 / SEC#: 801-62993

RIA

Registered Investment Advisory firm - (4/13/2004 Approved)

California

Registered Investment Advisory firm - (4/20/2004 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: 12/1/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/22/1998

General Securities Representative Examination

Current Firm

ASSET PLANNING, INC

CRD#: 111535 / SEC#: 801-62993

RIA

Registered Investment Advisory firm - (4/13/2004 Approved)

California

Registered Investment Advisory firm - (4/20/2004 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4281 Katella Avenue Suite 203, Los Alamitos, CA 90720

Mailing Address

Phone number

(714) 827-5794

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,018
AUM (Assets Under Management)	$ 506,033,322

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carol J. Patrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSET PLANNING, INC

FINANCIAL TELESIS INC

MILESTONE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ASSET PLANNING, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2003

Series 63

Date: 10/26/1998

Series 7

Date: 10/22/1998

Current Firm

ASSET PLANNING, INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET PLANNING, INC

TRUST BUT VERIFY

Similar Advisors