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Brett J. Upper

TIDE COVE CAPITAL PARTNERS
San Diego, CA
CRD#: 5749519
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BU
Brett James UpperTIDE COVE CAPITAL PARTNERS

Professional summary

Brett James Upper is a registered financial advisor currently at TIDE COVE CAPITAL PARTNERS LLC located in San Diego, California.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Brett has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett James Upper'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®
None

Experience

Current

August 22, 2023 - Present

TIDE COVE CAPITAL PARTNERS LLC

RIA
CRD#: 327373
San Diego, CA
Past

December 5, 2017 - March 9, 2020

BALBOA WEALTH PARTNERS, INC.

RIA
CRD#: 282329
La Jolla, CA
Past

June 21, 2016 - May 15, 2017

ALPHACORE CAPITAL LLC

RIA
CRD#: 174346
La Jolla, CA
Past

November 18, 2015 - June 2, 2016

CABIN SECURITIES, INC.

BD
CRD#: 137608
Encinitas, CA
Past

January 28, 2015 - December 4, 2017

DANIEL WEALTH ADVISORS

RIA
CRD#: 150382
ENCINITAS, CA
Past

February 17, 2014 - December 31, 2014

DANIEL WEALTH ADVISORS

RIA
CRD#: 150382
CORONA DEL MAR, CA
Past

July 13, 2010 - January 27, 2011

VCG SECURITIES, LLC

BD
CRD#: 149083
DELRAY BEACH, FL

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".
TC
TIDE COVE CAPITAL PARTNERS LLC
TIDE COVE CAPITAL PARTNERS LLC

CRD#: 327373 / SEC#: 801-128540

RIA
Registered Investment Advisory firm - (8/9/2023 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
(8/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/17/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/2015
General Securities Representative Examination

Current Firm

TC
TIDE COVE CAPITAL PARTNERS LLC
TIDE COVE CAPITAL PARTNERS LLC

CRD#: 327373 / SEC#: 801-128540

RIA
Registered Investment Advisory firm - (8/9/2023 Approved)
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Contact information

Main Address
San Diego, CA
Mailing Address
4629 Cass Street #298, San Diego, CA 92109
Phone number
(858) 224-3507
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TIDE COVE CAPITAL DISCLOSURE BROCHURE (7/10/2025)

Regulatory assets under management

Total Number of Accounts8
AUM (Assets Under Management)$ 142,100,213

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

TIDE COVE CAPITAL PARTNERS LLC

CRD#: 327373San Diego, CA

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