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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Upton is a financial advisor who has been in the industry since 1999. Christopher Upton is registered with Morgan Stanley. Christopher Upton has been with Morgan Stanley since 2009 and has also been previously registered with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Christopher Upton has a Series 65, Series 66, Series 31 and Series 7 license. Christopher Upton holds a state license in 26 states. Christopher Upton has a client base of high-net-worth individuals, insurance companies, investment companies, and charitable organizations. Christopher Upton provides asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
10/17/2014 - Present
Morgan Stanley (Plantation FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PLANTATION FL)
FL
05/01/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PLANTATION FL)
FL
06/14/2002 - 05/05/2006
WACHOVIA SECURITIES, LLC (COCONUT CREEK FL)
NY
11/30/1999 - 08/28/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/11/2006
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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