DFX Intelligence

Data Factory

RIA / WealthAdvisor24 years in industry

CAROL LYNN OCHOA

Advisor at PROSPERITY CAPITAL ADVISORS

Pleasanton, CA | Stockton, CA | WESTLAKE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:05e4fecd-9c05-30ba-3739-e36d72c50883

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERITY CAPITAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 26, 2002
First registration: Jun 4, 2008
Dual registered: no
Other names: CAROL LYNN MCCLELLAN|CAROL LYNN TANNER|CAROL LYNN WARD|CAROL LYNN WARD OCHOA
IAPD individual key: 4499682

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERITY CAPITAL ADVISORS	Independent wealth	Jul 7, 2016	n/a	yes	Pleasanton, CA\|WESTLAKE, OH\|Stockton, CA	Current employment
YOUR SECURE RETIREMENT CAPITAL MANAGEMENT, LLC	n/a	Apr 30, 2014	Apr 16, 2017	no	PLEASANTON, CA	Previous registration
ALPHASTAR CAPITAL MANAGEMENT	Independent wealth	Sep 1, 2011	May 1, 2014	no	STOCKTON, CA\|PLEASANTON, CA\|CORNELIUS, NC	Previous registration
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Jun 4, 2008	Aug 29, 2011	no	STOCKTON, CA\|WHEATON, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
YOUR SECURE RETIREMENT CAPITAL MANAGEMENT, LLC	PROSPERITY CAPITAL ADVISORS	Apr 16, 2017	Jul 7, 2016	-283	Firm change after gap	Other
ALPHASTAR CAPITAL MANAGEMENT	YOUR SECURE RETIREMENT CAPITAL MANAGEMENT, LLC	May 1, 2014	Apr 30, 2014	-1	Firm change	Other
BROOKSTONE CAPITAL MANAGEMENT LLC	ALPHASTAR CAPITAL MANAGEMENT	Aug 29, 2011	Sep 1, 2011	3	Firm change	Other

Relationships

Registered with (4)

→ PROSPERITY CAPITAL ADVISORSRegistered adviserregistration: current employment
Jul 7, 2016 to presentfactForm ADV
→ YOUR SECURE RETIREMENT CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 30, 2014 to Apr 16, 2017factForm ADV
→ ALPHASTAR CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Sep 1, 2011 to May 1, 2014factForm ADV
→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 4, 2008 to Aug 29, 2011factForm ADV

Dated events

No dated event names this entity yet.