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Caroline Marie Petty

Uprise Advisers LLC

Tampa, FL

San Francisco, CA

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Current Employers
Uprise Advisers Llc

548 Market Street Pmb 48325, San Francisco, CA 94104 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-03
FL RA APPROVED 2025-01-03
NV RA APPROVED 2025-01-03
TN RA APPROVED 2025-01-03
NY RA APPROVED 2023-06-05
  • CA RA
    APPROVED
    Since 2025-01-03
  • FL RA
    APPROVED
    Since 2025-01-03
  • NV RA
    APPROVED
    Since 2025-01-03
  • TN RA
    APPROVED
    Since 2025-01-03
  • NY RA
    APPROVED
    Since 2023-06-05

Branch Locations

Tampa, FL • United States

548 Market Street Pmb 48325, San Francisco, CA 94104 • 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
OrganizationCityStateFromTo
Raymond James Financial Saint Petersburg FL 06/2016 12/2018
Raymond James Financial Saint Petersburg FL 01/2019 03/2022
Uprise Advisers Llc San Francisco CA 09/2022 Present
Ontrail, Inc. San Francisco CA 05/2022 Present
  • 06/2016 → 12/2018
    Raymond James Financial
    Saint Petersburg, FL
  • 01/2019 → 03/2022
    Raymond James Financial
    Saint Petersburg, FL
  • 09/2022 → Present
    Uprise Advisers Llc
    San Francisco, CA
  • 05/2022 → Present
    Ontrail, Inc.
    San Francisco, CA
Other Businesses

Head of Financial Planning Operations at Ontrail, Inc.

Designations

View on SEC IAPD

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