Upashruti Agrawal

UNGM ADVISORS

North Aurora, IL

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CRD#: 6790484

Professional summary

Upashruti Agrawal is a registered financial advisor currently at UNGM ADVISORS, INC. located in North Aurora, Illinois.

Upashruti is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Upashruti has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 79 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 Upashruti Agrawal'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®

None

Experience

Current

May 18, 2020 - Present

UNGM ADVISORS, INC.

RIA

CRD#: 309137

North Aurora, IL

Past

June 14, 2017 - July 16, 2019

LINCOLN INTERNATIONAL LLC

CRD#: 42045

CHICAGO, IL

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

Illinois
(5/18/2020)

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

State Security Law Exam

Series 63

Date: 5/23/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/4/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/14/2017

Investment Banking Registered Representative Examination

Current Firm

UNGM ADVISORS, INC.

CRD#: 309137 / SEC#:

Illinois

Registered Investment Advisory firm - (10/22/2025 Termination Requested)

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Contact information

Main Address

North Aurora, IL

Mailing Address

Phone number

(630) 425-2345

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Upashruti Agrawal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Upashruti Agrawal's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNGM ADVISORS, INC.

LINCOLN INTERNATIONAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2017

Series 65

Date: 3/4/2017

SIE

Date: 10/1/2018

Series 79

Date: 6/14/2017

Current Firm

UNGM ADVISORS, INC.

Contact information

Documents

Red Flags

Company Information

UNGM ADVISORS, INC.

TRUST BUT VERIFY

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