Carol Lynn Ochoa

Current Employers

Employment History

• 10/2005 → Present
  Your Secure Retirement (D.b.a. For Advisory Business)
  Stockton, CA
• 08/2012 → 02/2017
  Your Secure Retirement Capital
  Pleasanton, CA
• 07/2016 → Present
  C2P Capital Advisory Group, Llc Dba Prosperity Capital Advisors
  Westlake, OH

Previous Registrations

• 2014-04-30 → 2017-04-16
  Your Secure Retirement Capital Management, Llc
  Pleasanton, CA
• 2011-09-01 → 2014-05-01
  Alphastar Capital Management
  Stockton, CA
  Pleasanton, CA
  Cornelius, NC
• 2008-06-04 → 2011-08-29
  Brookstone Capital Management Llc
  Stockton, CA
  Wheaton, IL

Other Businesses

1) Carol Ochoa is a licensed insurance agent conducting business from his registered location. In this capacity, she may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, she may receive other compensation such as fixed life trails. Ms. Ochoa spends approx. 10 hrs/week during trading hours on this activity. 2) Carol Ochoa owns rental property located on Silverado Dr, Carson City NV. 0-2 hours per month. Joint owner of property. Landlord/Owner of property. Not investment related. 3) Carol Ochoa works with the local chapter of the American Financial Education Alliance (AFEA). Ms. Ochoa conducts seminars to help eliminate financial illiteracy as part of his marketing efforts. Ms. Ochoa spends approximately 5 hours per month on this activity during non-trading hours. There are no product sales or company names mentioned at these seminars. 4) Carol Ochoa is the Owner of Your Secure Retirement Capital Management, LLC which is the operating entity for Ms. Ochoa's advisory business. Ms. Ochoa spends approximately 2 hours per week during trading hours working under this entity. 5) Carol Ochoa is the President of Your Secure Retirement, Inc. which is the operating entity for Ms. Ochoa's insurance business and the d.b.a. for Ms. Ochoa's advisory business. Ms. Ochoa spends approximately forty hours per week during trading hours working under this entity.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-10-27
• S63 Uniform Securities Agent State Law Examination
  2002-02-26

Other Names

• Carol Lynn Mcclellan
• Carol Lynn Tanner
• Carol Lynn Ward
• Carol Lynn Ward Ochoa