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Robert T. Upton
THE JOSEPH GROUP CAPITAL MANAGEMENT
Columbus, OH 43215
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CRD#: 3158923
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Professional summary
Robert Travis Upton is a registered financial advisor currently at THE JOSEPH GROUP CAPITAL MANAGEMENT located in Columbus, Ohio.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Robert has worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I AM THE PRESIDENT / FOUNDER / SOLE PROPRIETOR OF UPTON FINANCIAL EDUCATION, A FINANCIAL EDUCATION FIRM THAT IS PRIMARILY INVOLVED AS AN INDEPENDENT CONTRACTOR WITH THE SCHWESER STUDY PROGRAM DEVELOPING STUDY MATERIALS FOR THE CHARTERED FINANCIAL ANALYST (CFA) AND FINANCIAL RISK MANAGER (FRM) EXAMINATIONS. UPTON FINANCIAL EDUCATION WAS FOUNDED IN MARCH 2004 BUT MY RELATIONSHIP AS AN INDEPENDENT CONTRACTOR WITH SCHWESER GOES BACK TO 2001.
THE BUSINESS IS LOCATED AT MY HOME ADDRESS OF 5453 OLD CREEK LANE, HILLIARD, OH 43206. I DEVOTE APPROXIMATELY 5 HOURS PER MONTH TO THE BUSINESS WITH NONE OF THESE HOURS TAKING PLACE DURING TRADING HOURS. DUTIES INCLUDE WRITING STUDY NOTES, EDITING, AND WRITING SAMPLE TEXT QUESTIONS FOR THE CFA AND FRM CURRICULUM.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Travis Upton'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
December 6, 2012 - Present
THE JOSEPH GROUP CAPITAL MANAGEMENT
Office #1: 605 South Front Street Suite 100, Columbus, OH 43215RIA
CRD#: 165311
Columbus, OH
Past
March 2, 2005 - March 27, 2013
THE JOSEPH GROUP CAPITAL MANAGEMENT
RIA
CRD#: 109496
COLUMBUS, OH
Past
January 12, 1999 - April 17, 2001
HCA SECURITIES, INC.
BD
CRD#: 18247
TOLEDO, OH
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".
TJ
THE JOSEPH GROUP CAPITAL MANAGEMENT
THE JOSEPH GROUP CAPITAL MANAGEMENT | THE JOSEPH GROUP LLC
CRD#: 165311 / SEC#: 801-77130
RIA
Registered Investment Advisory firm - (10/3/2012 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
Ohio(12/6/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
TJ
THE JOSEPH GROUP CAPITAL MANAGEMENT
THE JOSEPH GROUP CAPITAL MANAGEMENT | THE JOSEPH GROUP LLC
CRD#: 165311 / SEC#: 801-77130
RIA
Registered Investment Advisory firm - (10/3/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
605 South Front Street Suite 100, Columbus, OH 43215
Mailing Address
Phone number
(614) 228-4300
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 796 |
| AUM (Assets Under Management) | $ 947,008,553 |
Red Flags
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