Jonathan D. Upton

KEYSTONE FINANCIAL GROUP

Louisville, KY 40207

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CRD#: 4559794

Professional summary

Jonathan Dale Upton, CFP® is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jonathan has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Min. Asset: Under $50K

Services Offered

Insurance Planning

Retirement Income Management

Comprehensive Financial Planning

Retirement Planning

Investment Planning

Estate Planning

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Dale Upton'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 1, 2024 - Present

KEYSTONE FINANCIAL GROUP, LLC

Office #1: 6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207

RIA

CRD#: 170201

Louisville, KY

Current

August 9, 2007 - Present

LPL FINANCIAL LLC

Office #1: 6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207-1293

RIA

CRD#: 6413

LOUISVILLE, KY

Past

April 4, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

May 22, 2024 - November 6, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

December 12, 2018 - May 3, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

January 26, 2004 - July 23, 2007

NATCITY INVESTMENTS, INC.

CRD#: 17490

LOUISVILLE, KY

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".

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 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.

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

Arizona
(12/6/2018)

California
(8/19/2022)

Colorado
(1/25/2022)

Florida
(12/3/2018)

Illinois
(11/30/2018)

Indiana
(12/3/2018)

Kentucky
(8/9/2007)

IAR

Kentucky
(2/1/2024)

Mississippi
(1/22/2021)

Missouri
(12/4/2018)

New Mexico
(5/20/2021)

New York
(1/25/2022)

North Carolina
(12/3/2018)

Ohio
(12/3/2018)

Oklahoma
(12/3/2018)

South Carolina
(12/4/2018)

Tennessee
(7/7/2023)

Texas
(12/3/2018)

Washington
(12/12/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/20/2004

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: 5/24/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/23/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

PREMIUM

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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

527 Wellington Way, Ste 225, Lexington, KY 40503

Mailing Address

Phone number

(859) 317-8316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (12/4/2025)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,153
AUM (Assets Under Management)	$ 1,858,938,537

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan D. Upton

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Dale Upton's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/20/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2005

Series 6

Date: 1/23/2004

Series 24

Date: 8/20/2009

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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