John C. Upshaw
Professional summary
John Christopher Upshaw, who also goes by John Christopher Upshaw, John Upshaw, is a registered financial professional currently at MERLIN'S PRIEST located in Anderson, Indiana.
John is registered as a RR (Registered Representative) and started their career in finance in 2018. John has worked at 2 firms and has passed the Series 66, Series 99TO, Series 82TO, Series 7TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Christopher Upshaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2026 - Present
MERLIN'S PRIEST
Office #1: 5411 Dr. Mlk Jr. Blvd, Anderson, IN 46013September 28, 2018 - January 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2018 - January 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 99TO
Date: 2/27/2026
Operations Professional ExaminationSeries 82TO
Date: 2/27/2026
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 7/12/2025
General Securities Representative ExaminationFINRA
Current Firm
MERLIN'S PRIEST
CRD#: 334898 / SEC#: , 8-71331
Contact information
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.
