Carole Ann Upson

Current Employers

Financial Coaching Partners Llc

Somis, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-01-29

CA RA
APPROVED

Since 2010-01-29

Branch Locations

Somis, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Financial Coaching Partners, Llc	San Pedro	CA	12/2009	Present

12/2009 → Present

Financial Coaching Partners, Llc

San Pedro, CA

Previous Registrations

2000-02-08 → 2009-10-29

Independent Capital Management

Torrance, CA

Other Businesses

TRST REL SVS/CORP; NO; PRTNR/AGENT; 1/2006; 2;0; REFERRING CLIENTS TO AN ATTORNEY TO OBTAIN A TRUST DOCUMENT OR GATHERING REQUESTED INFORMATION IN COOPERATION WITH THE ATTORNEY. INDEPENDENT CAPITAL MANAGEMENT; YES; SAN CLEMENTE; INSURANCE/CORP; PRTNR/AGNT; 1/1998; 15;1; LIFE AGENT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-15
S63	Uniform Securities Agent State Law Examination	1997-10-07

S65 Uniform Investment Adviser Law Examination

1999-12-15
S63 Uniform Securities Agent State Law Examination

1997-10-07

View on SEC IAPD