Leah R. Upton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leah Revkin Upton, CFP®, who also goes by Leah Krasner Revkin, was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 2011. Leah had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
May 21, 2018 - March 11, 2025
LAKE STREET ADVISORS
February 23, 2016 - May 7, 2018
FERRIS CAPITAL, LLC
July 16, 2015 - February 22, 2016
SOCIETY OF GROWNUPS, LLC
August 23, 2011 - July 1, 2015
EMPOWER 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
Exams
Current Firm
LAKE STREET ADVISORS
CRD#: 288300 / SEC#: 801-110455
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,858 |
| AUM (Assets Under Management) | $ 3,108,813,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 10/31/2023 | ||
| 02/08/2023 |
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.
