Brett J. Upper

TIDE COVE CAPITAL PARTNERS LLC

San Diego, CA

Some features on this profile are disabled

CRD#: 5749519

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.

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

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".

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)

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

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

SIE

Date: 6/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2015

General Securities Representative Examination

Current Firm

TIDE COVE CAPITAL PARTNERS LLC

CRD#: 327373 / SEC#: 801-128540

RIA

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

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

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

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 Accounts	8
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.

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

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brett J. Upper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett James Upper's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALBOA WEALTH PARTNERS, INC.

ALPHACORE CAPITAL LLC

CABIN SECURITIES, INC.

DANIEL WEALTH ADVISORS

DANIEL WEALTH ADVISORS

VCG SECURITIES, LLC

Primary Firm SEC Registration

TIDE COVE CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/11/2015

Series 65

Date: 2/17/2014

SIE

Date: 6/2/2016

Series 7

Date: 11/18/2015

Current Firm

TIDE COVE CAPITAL PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TIDE COVE CAPITAL PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors