UPMARKET SECURITIES LLC

Broker-DealerFINRA MemberEst. 2019
Total AUM
Advisory reps
14
Avg account
$0

Firm details

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

Firm profile

FINTRX

Overview

Upmarket Securities LLC is a limited liability company that registered with the SEC in 2019. FINTRX classifies the firm as unclassified and records ownership as a combination of a domestic entity and an individual. The available data indicate the firm is not identified as a capital allocator, is not an active ESG investor, and is not listed as a multistate adviser. The firm has not provided granular information about its advisory services, fee model, client segments, or investment activities to the data feed. Because those fields are blank in the source, there is no reliable public description of its target clients, service model, or portfolio-construction approach available in FINTRX.

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 13
  • nathaniel francescato

    Director of ComplianceCRD 5793996

  • Baofeng Chen

    Registered RepresentativeCRD 7277438

  • WEN HAO CHEN

    Registered RepresentativeCRD 4769936

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

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 McCarthy Blvd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth