Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Robert Alton Uptegraff Jr
ROBERT ALTON UPTEGRAFF JR, ROBERT ALTON JR UPTEGRAFF, Robert Uptegraff
CRD#: 1973068
IA
Investment Adviser
B
Broker
GROVE POINT ADVISORS, LLCCRD#: 313171 11400 Grand Boulevard
Grand Blanc, MI 48439
GROVE POINT INVESTMENTS, LLCCRD#: 1763 11400 Grand Blvd
GRAND BLANC, MI 48439
Registration History
199019952000200520102015202020252 FIRMS1989 - 1992 (2 years)IAGROVE POINT ADVISORS, LLC (CRD# 313171)2021 - Present (3 years)BGROVE POINT INVESTMENTS, LLC (CRD# 1763)2017 - Present (7 years)BJ.J.B. HILLIARD, W.L. LYONS, LLC (CRD# 453)1998 - 2017 (19 years)BSMITH BARNEY INC. (CRD# 7059)1994 - 1998 (4 years)BRONEY & CO. (CRD# 900)1992 - 1994 (2 years)IAH. BECK, INC. (CRD# 1763)2017 - 2021 (3 years)IAJ.J.B. HILLIARD, W.L. LYONS, LLC (CRD# 453)2011 - 2017 (6 years)
Disclosure(s)
View By:
3/9/2009
Customer Dispute
Denied
3/9/2004
Customer Dispute
Settled
10/4/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 10/17/2017
IA
Michigan 4/1/2021
B
Kansas 10/16/2017
B
New Jersey 5/30/2019
B
Michigan 10/16/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GROVE POINT ADVISORS, LLC (CRD#:313171)
11400 Grand Boulevard, Grand Blanc, MI 48439
Registered with this firm since 4/1/2021
B
GROVE POINT INVESTMENTS, LLC (CRD#:1763)
11400 Grand Blvd, GRAND BLANC, MI 48439
Registered with this firm since 10/16/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/16/2017 - 04/01/2021 H. BECK, INC. (CRD#:1763) GRAND BLANC, MI
IA
 03/02/2011 - 10/20/2017 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) GRAND BLANC, MI
B
 07/30/1998 - 10/20/2017 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) GRAND BLANC, MI
B
 02/10/1994 - 06/16/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 01/07/1992 - 01/28/1994 RONEY & CO. (CRD#:900) DETROIT, MI
B
 08/22/1989 - 03/12/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 08/22/1989 - 03/12/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.