John H. Upton

RETIREMENT CONSULTING GROUP

Lake Oswego, OR 97035

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CRD#: 1363612

Professional summary

John Harold Upton III, who also goes by Jack Upton III, Jack Upton, is a registered financial advisor currently at RETIREMENT CONSULTING GROUP, INC. located in Lake Oswego, Oregon.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Upton Iii | Jack Upton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Peter R. Marsh Foundation, non-investment related, 19215 SE 34th St. Suite 106 PMB 397 Camas WA 98607, non-profit that awards scholarships to high school students and grants to middle school teachers, Board chair of the Peter R. Marsh Foundation, Board chair, board member for about 17 years and Board Chair since December 2024, uncompensated, about 3 hours per month, about 3 hours per month, Chair's role is to lead the board, guide the foundation, and ensure that the board is functioning effectively. Board Chair also works to support the board's strategic direction and governance. Seaside Cottages LLC, non-investment related, 60473 Robinette Road, St. Helens, Oregon 97035, an LLC to hold investment real estate that John owns, President, President, April 7, 2023, it became an inactive shell, in June, September and October of 2024 the LLC was first funded with transfers or real estate, a bank account was established, and a TIN was applied for, about one to two hours, about one to two hours, Oversee the real estate management company, work with the bookkeeper, attorney and other related professionals, make capital improvement decisions, stay informed regarding local and state authority requirements for rental real estate.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Harold Upton III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 1, 2021 - Present

RETIREMENT CONSULTING GROUP, INC.

Office #1: 5 Centerpoint Drive Suite 400, Lake Oswego, OR 97035

RIA

CRD#: 311184

Lake Oswego, OR

Past

November 10, 2020 - February 18, 2021

ARBOR POINT ADVISORS

RIA

CRD#: 165127

LAKE OSWEGO, OR

Past

November 6, 2020 - February 18, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAKE OSWEGO, OR

Past

November 6, 2020 - February 18, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

LAKE OSWEGO, OR

Past

March 10, 2003 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

PORTLAND, OR

Past

April 8, 1997 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

PORTLAND, OR

Past

February 21, 1992 - April 8, 1997

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 4, 1990 - March 5, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 8, 1988 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

May 23, 1985 - July 26, 1988

SECURITY PACIFIC SECURITIES OF OREGON, INC.

CRD#: 13120

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RETIREMENT CONSULTING GROUP, INC.

CRD#: 311184 / SEC#: 801-119724

RIA

Registered Investment Advisory firm - (10/30/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(4/1/2021)

IAR

Texas
(10/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

Current Firm

RETIREMENT CONSULTING GROUP, INC.

CRD#: 311184 / SEC#: 801-119724

RIA

Registered Investment Advisory firm - (10/30/2020 Approved)

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Contact information

Main Address

5 Centerpointe Drive Suite 400, Lake Oswego, OR 97035

Mailing Address

Phone number

(503) 225-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RCG 2025 FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 411,125,617

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John H. Upton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Harold Upton III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR POINT ADVISORS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

DAIN RAUSCHER INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

SECURITY PACIFIC SECURITIES OF OREGON, INC.

Primary Firm SEC Registration

RETIREMENT CONSULTING GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/1998

Series 63

Date: 6/3/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Current Firm

RETIREMENT CONSULTING GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT CONSULTING GROUP, INC.

TRUST BUT VERIFY

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