Caishalynne R. Echols

Some features on this profile are disabled

CRD#: 7418326

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Caishalynne Richins Echols, who also goes by Caish Echols, Caishalynne Richins, was a registered financial professional .

Caishalynne is a previously registered financial professional and started their career in finance in 2021. Caishalynne had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Caish Echols | Caishalynne Richins

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 15, 2021 - October 25, 2021

GEN Y PLANNING

RIA

CRD#: 167656

Des MOines, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

GEN Y PLANNING

BERA, SOPHIA JOZEFA CARLSON | GEN Y PLANNING LLC | GEN Y PLANNING L.L.C. | GEN Y PLANNING

CRD#: 167656 / SEC#:

California

Registered Investment Advisory firm - (4/28/2015 Approved)

Colorado

Registered Investment Advisory firm - (12/8/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/16/2022 Approved)

Illinois

Registered Investment Advisory firm - (5/20/2021 Approved)

Iowa

Registered Investment Advisory firm - (12/8/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (1/4/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/5/2022 Approved)

Minnesota

Registered Investment Advisory firm - (5/24/2013 Approved)

New Jersey

Registered Investment Advisory firm - (9/28/2022 Approved)

New York

Registered Investment Advisory firm - (1/2/2015 Approved)

North Carolina

Registered Investment Advisory firm - (12/17/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/31/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/6/2022 Approved)

Texas

Registered Investment Advisory firm - (4/3/2014 Approved)

Washington

Registered Investment Advisory firm - (4/14/2021 Approved)

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).

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

Austin, TX

Mailing Address

1401 Lavaca Street Pmb 47955, Austin, TX 78701

Phone number

(612) 790-7955

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	282
AUM (Assets Under Management)	$ 36,726,693

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.