Michael B. Upton
Professional summary
Michael Byrum Upton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Michael had worked at 10 firms, which includes BALANCED FUND MANAGER LLC, VC/RE FUND MANAGER LLC, MCL FINANCIAL GROUP INC., ARAGON FINANCIAL SERVICES INC., GRUBB & ELLIS SECURITIES INC., UNITED PACIFIC SECURITIES INC., WEALTH RESOURCE CAPITAL CORPORATION, GUARDIAN INVESTOR SERVICES LLC, FIRST DOMINION FINANCIAL SERVICES INC., LPL FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2005 - August 16, 2006
BALANCED FUND MANAGER, LLC
February 24, 2004 - August 14, 2006
VC/RE FUND MANAGER, LLC
July 11, 2003 - June 27, 2006
MCL FINANCIAL GROUP, INC.
March 23, 1999 - August 23, 2000
ARAGON FINANCIAL SERVICES, INC.
June 21, 1995 - July 11, 2003
GRUBB & ELLIS SECURITIES, INC.
March 10, 1995 - June 8, 1995
UNITED PACIFIC SECURITIES, INC.
November 10, 1988 - January 27, 1995
WEALTH RESOURCE CAPITAL CORPORATION
April 2, 1986 - October 27, 1987
GUARDIAN INVESTOR SERVICES LLC
August 17, 1982 - August 29, 1983
FIRST DOMINION FINANCIAL SERVICES, INC.
March 30, 1982 - June 2, 1982
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
