JU
Jonathan T. Upham
SAGEVIEW ADVISORY GROUP
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2957743
JU
Professional summary
Jonathan Tyler Upham, who also goes by Jon Upham, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Newport Beach, California and SAGEVIEW PRIVATE CLIENT GROUP, LLC located in Newport Beach, California.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jonathan has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Upham
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.
1. SAGEVIEW ADVISORY GROUP, LLC,
RIA REITREMENT PLAN CONSULTING;
2. 1.NAME OF OTHER BUSINESS: SAGEVIEW PRIVATE CLIENT GROUP
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE
START DATE: 08/2004
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT
3. NAME OF OTHER BUSINESS: POWDER CAPITAL, LLC;
INVESTMENT RELATED: NO;
ADDRESS: 555 N. WILDHORSE CIRCLE, ORANGE, CA 92869;
NATURE OF BUSINESS: REAL ESTATE;
START DATE: 05/2013;
POSITION/TITLE/RELATIONSHIP: PARTNER;
APX NUMBER OF HOURS PER WEEK: 1;
APX NUMBER OF HOURS DURING TRADING HOURS: 1;
BRIEF DESCRIPTION OF DUTIES: BUY AND SELL RESIDENTIAL AND COMMERCIAL REAL ESTATE;
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Tyler Upham's 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®
NoneExperience
Current
October 17, 2006 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660RIA
CRD#: 126777
Newport Beach, CA
Current
March 24, 2016 - Present
SAGEVIEW PRIVATE CLIENT GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660RIA
CRD#: 134997
Newport Beach, CA
Current
October 26, 1999 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
March 9, 2015 - December 31, 2015
SAGEVIEW PRIVATE CLIENT GROUP, LLC
RIA
CRD#: 134997
IRVINE, CA
Past
November 19, 1997 - April 6, 1999
ZA ASSOCIATES, INC.
BD
CRD#: 7850
MORRISTOWN, NJ
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/26/1999)
IAR
California(10/17/2006)
RR
Utah(1/25/2021)
IAR
Utah(3/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
