Carole Upson
Carole Upson is a registered investment advisor at Financial Coaching Partners LLC, based in Somis, CA, with 25 years of industry experience. Carole operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 145 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Financial Coaching Partners does not directly manage money. Instead, they recommend third-party money managers. Clients pay the third-party money manager's fees directly through their account funds. Financial Coaching Partners chooses third-party money managers based on their investment strategy, costs, skills, reputation, dependability, and compatibility with clients.
Location
Somis, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Carole refers clients to an attorney for trust documents, and gathers information in cooperation with the attorney. Carole is also a life insurance agent since 1998, dedicating a few hours per week to this activity.
Employment History
Current Registrations
Financial Coaching Partners LLC
Previous Registrations
Independent Capital Management
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.