Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Lynn Ward Ochoa is a licensed investment advisor representative (IAR) with Prosperity Capital Advisors in Pleasanton, CA, and holds a Series 65 license. Carol is registered with the state of California and Texas, and has been in the industry since 2002. Prior to working with Prosperity Capital Advisors, Carol worked with NYLIFE Securities Inc. in New York, NY. Carol is a member of Foundation for Fiduciary Education Inc. (FFE) and conducts seminars to help eliminate financial illiteracy. In addition to being an advisor, Carol is also a licensed insurance agent doing business under Your Secure Retirement, Inc., where she offers fixed insurance products, including life insurance, annuities, disability insurance, long term care insurance, and Medicare supplements. Carol is an experienced financial advisor with a strong track record of success.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
06/10/2020 - Present
Prosperity Capital Advisors (Pleasanton CA)
NY
03/07/2002 - 03/12/2004
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
Issued 10/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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