Caroline M. Petty

UPRISE ADVISERS LLC

Tampa, FL

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CRD#: 6412517

Professional summary

Caroline Marie Petty is a registered financial advisor currently at UPRISE ADVISERS LLC located in Tampa, Florida.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Caroline has worked at 2 firms and has passed the 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.

Head of Financial Planning Operations at Ontrail, Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Marie Petty'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®

None

Experience

Current

October 31, 2022 - Present

UPRISE ADVISERS LLC

RIA

CRD#: 322959

Tampa, FL

Past

April 7, 2018 - April 4, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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
(10/31/2022)

IAR

Florida
(5/23/2023)

IAR

Nevada
(10/16/2023)

IAR

New York
(6/5/2023)

IAR

Tennessee
(8/1/2024)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/2018

General Securities Representative Examination

Current Firm

UPRISE ADVISERS LLC

CRD#: 322959 / SEC#:

California

Registered Investment Advisory firm - (10/31/2022 Approved)

Florida

Registered Investment Advisory firm - (5/23/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/11/2023 Approved)

New York

Registered Investment Advisory firm - (6/5/2023 Approved)

Tennessee

Registered Investment Advisory firm - (8/1/2024 Approved)

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Contact information

Main Address

548 Market Street Pmb 48325, San Francisco, CA 94104

Mailing Address

Phone number

(415) 562-6548

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Caroline M. Petty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Marie Petty's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPRISE ADVISERS LLC

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 4/7/2018

Current Firm

UPRISE ADVISERS LLC

Contact information

Documents

Red Flags

Company Information

UPRISE ADVISERS LLC

TRUST BUT VERIFY

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