Russell G. Kroeger

UPSTART WEALTH MANAGEMENT

DURHAM, NC

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CRD#: 6215669

Professional summary

Russell Garrison Kroeger, CFP® is a registered financial advisor currently at UPSTART WEALTH MANAGEMENT, LLC located in Durham, North Carolina.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Russell has worked at 4 firms and has passed the SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Garrison Kroeger'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

Experience

Current

September 14, 2018 - Present

UPSTART WEALTH MANAGEMENT, LLC

RIA

CRD#: 173728

DURHAM, NC

Past

April 24, 2017 - December 31, 2018

PARADIGM WEALTH

RIA

CRD#: 287797

SAN FRANCISCO, CA

Past

May 15, 2015 - March 13, 2017

YESKE BUIE INC.

RIA

CRD#: 143234

VIENNA, VA

Past

March 24, 2014 - November 21, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

GREENSBORO, NC

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".

UPSTART WEALTH MANAGEMENT, LLC

MICHAEL ALAN POWSNER | UPSTART WEALTH MANAGEMENT, LLC | MICHAEL POWSNER

CRD#: 173728 / SEC#: 801-121693

RIA

Registered Investment Advisory firm - (7/6/2021 Approved)

California

Registered Investment Advisory firm - (8/6/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (7/7/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (7/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(9/14/2018)

IAR

Massachusetts
(11/21/2023)

IAR

North Carolina
(1/29/2021)

IAR

Texas
(6/4/2021)

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.

Exams

General Industry/Product Exam

SIE

Date: 11/21/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/2014

General Securities Representative Examination

Current Firm

UPSTART WEALTH MANAGEMENT, LLC

MICHAEL ALAN POWSNER | UPSTART WEALTH MANAGEMENT, LLC | MICHAEL POWSNER

CRD#: 173728 / SEC#: 801-121693

RIA

Registered Investment Advisory firm - (7/6/2021 Approved)

California

Registered Investment Advisory firm - (8/6/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (7/7/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (7/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/7/2021 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

745 5th Avenue Suite 500, New York, NY 10151

Phone number

(415) 549-0646

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-09-29 UPSTART WEALTH MANAGEMENT FORM ADV PART 2A (9/29/2025)

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 294,016,518

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.

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Russell G. Kroeger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Garrison Kroeger's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPSTART WEALTH MANAGEMENT, LLC

PARADIGM WEALTH

YESKE BUIE INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

UPSTART WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 11/21/2014

Series 7

Date: 3/24/2014

Current Firm

UPSTART WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UPSTART WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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