Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Russel? Claim Your ProfileRussel J. Upton has been in the financial services industry since 2001 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Previously, Russel J. Upton worked at CITY NATIONAL SECURITIES, INC. and BANC OF AMERICA INVESTMENT SERVICES, INC.. Russel J. Upton holds Series 6, 7, 31, and 66 licenses. Russel J. Upton's specialties include Portfolio Management for Individuals, Portfolio Management for Businesses, Pension Consulting, Educational Seminars, and Selection of Other Advisers.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
04/07/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RANCHO SANTA FE CA)
CA
12/10/2009 - 01/12/2012
CITY NATIONAL SECURITIES, INC. (LA JOLLA CA)
CA
10/23/2009 - 11/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
CA
03/21/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN DIEGO CA)
CA
10/04/2001 - 03/21/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LA JOLLA CA)
NA
09/24/1990 - 10/17/1990
AMEV INVESTORS, INC.
BOTH
Issued 11/01/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/03/2001
Series 7 - General Securities Representative Examination
BC
Issued 09/22/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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