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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Edward Upham is an Investment Advisor Representative at EP Wealth Advisors. Scott has over 20 years of experience in the financial services industry. Scott specializes in providing investment advice and financial planning services to individuals, families, and businesses. Scott is committed to helping clients achieve their financial goals through a personalized approach. Scott is a registered representative in Maine, Massachusetts, New Hampshire, Louisiana, California, and Colorado and holds the Series 6, 7, 63, 65, 99TO and SIE licenses.
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.
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.
Retirement plan advisory services & tax preparation services
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.
A percentage of the total value of assets under management is charged.
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CA
07/08/2024 - Present
EP Wealth Advisors (TORRANCE CA)
ME
05/01/2015 - 12/31/2022
PURSHE KAPLAN STERLING INVESTMENTS (Augusta ME)
ME
02/14/2012 - 05/07/2015
AMERIPRISE FINANCIAL SERVICES, INC. (AUGUSTA ME)
MA
12/14/2005 - 01/31/2012
RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS (MARLBOROUGH MA)
MN
09/10/2002 - 12/14/2005
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
09/10/2002 - 12/14/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MA
07/13/1998 - 04/22/2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
MA
01/02/1996 - 06/23/1998
FIS SECURITIES, INC. (BOSTON MA)
ME
09/28/1994 - 12/31/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MA
07/28/1993 - 09/23/1994
FIS SECURITIES, INC. (BOSTON MA)
IA
Issued 10/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/27/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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