Upmarket Securities LLC

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
17
Avg account
$0

Firm details

Headquarters
Milpitas, California
CRD number
295634
Registered since
May 1, 2019

Firm profile

FINTRX

Overview

Upmarket Securities LLC is organized as a limited liability company and is listed as owned by a domestic entity and an individual. The firm is classified as "Unclassified" in the available snapshot. The record indicates it does not act as a capital allocator, is not an active ESG investor, is not a multi-state adviser, is not newly formed, is not a pension consultant, and has no related adviser designation. The firm has not provided information about its client base, fee arrangements, core business activities, or advisory services in the data supplied.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

1 of 1
  • Robert Daniels

    Chief Compliance OfficerCRD 5437527

Contacts

3 of 16
  • Nathaniel Francescato

    Nathaniel Francescato

    Director of Compliance & OperationsCRD 5793996

  • Chieh Pan

    Chieh Pan

    Registered RepresentativeCRD 6637728

  • Hui Chen

    DirectorCRD 5985515

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

Milpitas, CA

Santa Clara

Location

Milpitas, CA

Headquartered in Milpitas, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
Santa Clara
Address
1525 Mc Carthy Blvd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth