CO
Carol L. Ochoa
PROSPERITY CAPITAL ADVISORS
Stockton, CA 95207
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CRD#: 4499682
CO
Professional summary
Carol Lynn Ochoa, who also goes by Carol Lynn Mcclellan, Carol Lynn Tanner, Carol Lynn Ward, Carol Lynn Ward Ochoa, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Stockton, California.
Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Carol has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Lynn Mcclellan | Carol Lynn Tanner | Carol Lynn Ward | Carol Lynn Ward Ochoa
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) Carol Ochoa is a licensed insurance agent doing business under Your Secure Retirement, Inc.. In this capacity, she may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, she may receive other compensation such as fixed life trails. Carol spends approx. 10 hrs/week during trading hours on this activity. 2) Single family home rental. located on Silverado Dr, Carson City NV. Not investment related. 0 hours per month. Joint owner of property. Landlord/Owner of property. 3) Carol Ochoa is the Chapter President of Foundation for Fiduciary Education Inc. (FFE) in the Pleasanton area of CA. Carol conducts several seminars per month to help eliminate financial illiteracy as part of her marketing efforts. There are no product sales or company names mentioned at these seminars and no compensation from FFE is received. 4) Carol Ochoa is the Owner of Your Secure Retirement Capital Management, LLC which is the operating entity for Ms. Ochoa's advisory business. Ms. Ochoa spends approximately two hours per week during trading hours working under this entity. 5) Carol Ochoa is the President of Your Secure Retirement, Inc. which is the operating entity for Ms. Ochoa's insurance business and the d.b.a. for Ms. Ochoa's advisory business. Ms. Ochoa spends approximately forty hours per week during trading hours working under this entity. 6) Carol Ochoa holds an inactive Notary Public commission; no current services, compensation, or time spent during business or non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Lynn Ochoa'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®
NoneExperience
Current
July 7, 2016 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 5250 Claremont Avenue Suite 218, Stockton, CA 95207Office #2: 5780 Stoneridge Mall Road Suite 202, Pleasanton, CA 94588RIA
CRD#: 156480
Stockton, CA
Past
April 30, 2014 - April 16, 2017
YOUR SECURE RETIREMENT CAPITAL MANAGEMENT, LLC
RIA
CRD#: 169991
PLEASANTON, CA
Past
September 1, 2011 - May 1, 2014
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
STOCKTON, CA
Past
June 4, 2008 - August 29, 2011
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
STOCKTON, CA
Past
March 7, 2002 - March 12, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)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(7/7/2016)
IAR
Nevada(11/13/2024)
IAR
Texas(6/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Stockton, CA 95207TRUST BUT VERIFY
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