Caroline C. Mason

CASCADE FINANCIAL PARTNERS

SAN DIEGO, CA 92130

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CRD#: 7678307

Professional summary

Caroline Claire Mason is a registered financial advisor currently at CASCADE FINANCIAL PARTNERS, LLC located in San Diego, California.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Caroline has worked at 1 firm and has passed the Series 65 exam.

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.

1. Main Street Swim School; Non-Investment Related; 10535 Heater Ct, San Diego, CA 92121; Swim Lessons; Swim Instructor Employee; 02/17/2024; 16 hours/month; 0 hours devoted during securities trading hours; Teach children of all ages basic swimming skills and water safety

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Claire Mason'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

December 9, 2024 - Present

CASCADE FINANCIAL PARTNERS, LLC

Office #1: 3579 Valley Centre Drive Suite 125, San Diego, CA 92130

RIA

CRD#: 326620

SAN DIEGO, CA

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".

CASCADE FINANCIAL PARTNERS, LLC

AMPOAK LLC | CASCADE FINANCIAL PARTNERS, LLC

CRD#: 326620 / SEC#: 801-128042

RIA

Registered Investment Advisory firm - (5/26/2023 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
(12/9/2024)

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

State Security Law Exam

IAR

Series 65

Date: 12/9/2024

Uniform Investment Adviser Law Examination

Current Firm

CASCADE FINANCIAL PARTNERS, LLC

AMPOAK LLC | CASCADE FINANCIAL PARTNERS, LLC

CRD#: 326620 / SEC#: 801-128042

RIA

Registered Investment Advisory firm - (5/26/2023 Approved)

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Contact information

Main Address

3579 Valley Centre Drive Suite 125, San Diego, CA 92130

Mailing Address

Phone number

(858) 379-6701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASCADE ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,069
AUM (Assets Under Management)	$ 1,160,595,429

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 C. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Claire Mason's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADE FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

CASCADE FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2024

Current Firm

CASCADE FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASCADE FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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