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Vice President/chief Compliance Officer · Asset Planning, Inc

Carol Somoano

CRD 4972541 · Named on Form ADV at one SEC-registered adviser

At a glance

Asset Planning, Inc, an SEC-registered wealth manager based in LOS Alamitos, CA with $553 million in regulatory assets, lists Carol Somoano on its Form ADV as Vice President/chief Compliance Officer, a control person.

Firms and roles

  • Asset Planning, IncVice President/chief Compliance OfficerWealth manager · LOS Alamitos, CA · $553M in regulatory assets

AtlasMembers

Carol’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Carol’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.