Carol Somoano

ASSET PLANNING,

LOS ALAMITOS, CA 90720

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CRD#: 4972541

Professional summary

Carol Somoano, CFP®, who also goes by Carol A. Flamenbaum, is a registered financial advisor currently at ASSET PLANNING, INC located in Los Alamitos, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Carol has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol A. Flamenbaum

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) - RIA

Click below to view Carol Somoano'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

June 3, 2005 - Present

ASSET PLANNING, INC

Office #1: 4281 Katella Avenue Suite 203, Los Alamitos, CA 90720

RIA

CRD#: 111535

LOS ALAMITOS, CA

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.

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
(6/3/2005)

IAR

Texas
(11/14/2024)

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

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)

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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.

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Carol Somoano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Somoano's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET PLANNING, INC

Primary Firm SEC Registration

ASSET PLANNING, INC

State Registrations and Notice Filings

Exams

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

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