Individual Firm
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CHRISTOPHER UPTON
CHRISTOPHER J UPTON
CRD#: 4034977
IA
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MORGAN STANLEYCRD#: 149777 1200 South Pine Island Road
Suite 800
Plantation, FL 33324
Suite 800
Plantation, FL 33324
0
Disclosures
24
Years of Experience
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State Registrations
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Alaska 7/8/2022
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Missouri 7/22/2019
B
Arizona 9/25/2019
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Nevada 1/5/2021
B
California 6/1/2009
B
New Jersey 3/13/2015
B
Colorado 8/19/2010
B
New York 6/1/2009
B
Connecticut 7/8/2010
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Oregon 10/1/2024
IA
Florida 6/1/2009
B
Pennsylvania 10/4/2013
B
Georgia 6/1/2009
B
South Carolina 6/6/2017
B
Hawaii 3/11/2017
B
Tennessee 11/8/2018
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Illinois 2/14/2011
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Texas 10/15/2014
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Kansas 11/4/2011
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Texas 10/17/2014
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Kentucky 12/2/2021
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Virginia 5/25/2010
B
Louisiana 5/26/2010
B
Washington 7/6/2022
B
Maryland 3/6/2015
B
Wyoming 1/29/2020
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Massachusetts 6/13/2013
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | PLANTATION, FL | |
B | 04/02/2007 - 06/01/2009 | PLANTATION, FL | |
IA | 09/13/2006 - 04/02/2007 | PLANTATION, FL | |
B | 05/01/2006 - 04/02/2007 | PLANTATION, FL | |
B | 06/14/2002 - 05/05/2006 | COCONUT CREEK, FL | |
B | 11/30/1999 - 08/28/2001 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.