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Zulma Petty

Zulma Petty

UPTICK PARTNERS
SPARTANBURG, SC 29302
Some features on this profile are disabled
CRD#: 6737719
Zulma Petty

Professional summary

Zulma Petty, who also goes by Zulma Aviles, Sue Perez, Zulma Perez, Sue Petty, is a registered financial advisor currently at UPTICK PARTNERS, LLC located in Spartanburg, South Carolina.

Zulma is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Zulma has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Zulma Aviles | Sue Perez | Zulma Perez | Sue Petty

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 Zulma Petty'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

March 18, 2026 - Present

UPTICK PARTNERS, LLC

Office #1: 1971 S Pine Street, Spartanburg, SC 29302
RIA
CRD#: 324250
SPARTANBURG, SC
Past

July 7, 2017 - March 19, 2026

EDWARD JONES

RIA
CRD#: 250
ROEBUCK, SC
Past

April 5, 2017 - March 19, 2026

EDWARD JONES

BD
CRD#: 250
ROEBUCK, SC

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".
UP
UPTICK PARTNERS, LLC
BAXTER ADVISORS, LLC | UPTICK PARTNERS, LLC | OLYMPUS WEALTH STRATEGIES | HOLISTIC PLANNING, LLC | DVORAK FINANCIAL PLANNING | COPPERTREE FINANCIAL PLANNING

CRD#: 324250 / SEC#: 801-127235

RIA
Registered Investment Advisory firm - (1/20/2023 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
South Carolina
(3/18/2026)
IAR
Texas
(3/18/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/28/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2017
General Securities Representative Examination

Current Firm

UP
UPTICK PARTNERS, LLC
BAXTER ADVISORS, LLC | UPTICK PARTNERS, LLC | OLYMPUS WEALTH STRATEGIES | HOLISTIC PLANNING, LLC | DVORAK FINANCIAL PLANNING | COPPERTREE FINANCIAL PLANNING

CRD#: 324250 / SEC#: 801-127235

RIA
Registered Investment Advisory firm - (1/20/2023 Approved)
PREMIUM
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Contact information

Main Address
777 East Austin, Nacogdoches, TX 75965
Mailing Address
Phone number
(936) 800-0800
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (1/12/2026)

Regulatory assets under management

Total Number of Accounts2,583
AUM (Assets Under Management)$ 688,095,249

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

UPTICK PARTNERS, LLC

CRD#: 324250Spartanburg, SC 29302

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Contact information

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