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Carole Ann Upson

Financial Coaching Partners LLC

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About Carole Ann Upson

Carole Ann Upson is an investment advisor representative associated with Financial Coaching Partners LLC. Carole Ann is a registered Investment Advisor in California, and has held past registrations in Arizona and California. Carole Ann has experience in the industry dating back to 1997. Carole Ann has passed a variety of securities exams including Series 6, Series 7, Series 24, Series 51, and Series 63 and Series 65. Her experience includes working at Sagepoint Financial, Inc. and SunAmerica Securities, Inc.

Firm Information

Carole Upson is currently registered with Financial Coaching Partners LLC. Financial Coaching Partners LLC is a financial advisory firm that offers financial planning and selection of other advisers to individuals. The firm has 2 licensed agents and 3 investment adviser representatives. They do not manage assets for individuals, investment companies, or pooled investment vehicles.

Not reported

Assets Under Management

Not reported

Total Clients

2

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Selection of other advisors

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Carole Upson’s Registration & Firm History

CA

01/29/2010 - Present

Financial Coaching Partners LLC (SOMIS CA)

CA

10/31/2005 - 12/02/2009

SAGEPOINT FINANCIAL, INC. (TORRANCE CA)

AZ

10/06/1997 - 10/31/2005

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

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Licenses & Designations

IA

Issued 12/15/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/07/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/24/2003

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 04/11/2000

Series 24 - General Securities Principal Examination

BC

Issued 12/07/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/03/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Carole Ann Upson.
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