Scott C. Upton
Professional summary
Scott Chandler Upton, who also goes by Scott Upton, is a registered financial professional currently at ICG CAPITAL SECURITIES, LLC located in Charlotte, North Carolina.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Chandler Upton's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2014 - Present
ICG CAPITAL SECURITIES, LLC
Office #1: 201 South College Street Suite 1610, Charlotte, NC 28244Office #2: 201 South College Street Suite 1610, Charlotte, NC 28244February 27, 2003 - April 7, 2014
ALLEN C. EWING & CO.
October 5, 1998 - May 28, 2002
REMINGTON CAPITAL SECURITIES, LLC
February 14, 1994 - March 30, 1994
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2017)
(5/18/2021)
(2/26/2015)
(6/27/2018)
(7/23/2020)
(5/5/2014)
(10/2/2019)
(12/20/2016)
(12/15/2016)
(2/28/2024)
(12/14/2020)
(9/6/2022)
(8/6/2020)
(10/3/2019)
(3/2/2021)
(12/21/2016)
(2/15/2021)
(4/7/2014)
(8/27/2025)
(4/15/2014)
(9/5/2025)
(1/24/2017)
(4/17/2014)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ICG CAPITAL SECURITIES, LLC
CRD#: 169661 / SEC#: , 8-69379
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
