Unclaimed
John Richard Upton is a financial advisor with over 40 years of experience in the industry. John is registered with Wells Fargo Clearing Services, LLC and holds the Series 4, 7, 8, 9, 10, 63 and 65 licenses. He is also a Certified Financial Planner. John has previously worked with First Union Capital Markets Corp. and Anderson & Strudwick, Incorporated. John focuses on helping individuals and families with their financial planning and investment needs.
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.
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.
Investment consulting services to institutional clients
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.
1
2
VA
10/01/1999 - Present
Wells Fargo Clearing Services, LLC (COLONIAL HEIGHTS VA)
NC
08/19/1986 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
04/14/1982 - 08/21/1986
ANDERSON & STRUDWICK, INCORPORATED
NA
03/02/1982 - 04/08/1982
FIRST JERSEY SECURITIES, INC.
IA
Issued 07/11/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/24/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/12/1986
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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