Branch offices
2 offices
FINRA: Small firm
CRD #164692 · FINRA BrokerCheck + SEC IAPD
UP Capital Management, Inc.
UP Capital Management, Inc. has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 2
- branch offices
PlainAdvisorCheck rating n/a - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Firm Details
- Firm Size
- Small
- CRD Number
- 164692
Mid-pack disclosure profile
What the record shows for UP Capital Management, Inc.
UP Capital Management, Inc. (, CRD# 164692) operates 2 branch offices with 0 disclosures as of July 2026.
UP Capital Management, Inc. carries 0 disclosures across 2 offices (clean record, Grade N/A). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational data summary for informational purposes - not financial advice. Review UP Capital Management, Inc.'s underlying FINRA BrokerCheck detail before engaging.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of N/A mean for UP Capital Management, Inc.?
UP Capital Management, Inc. has not yet been graded by PlainAdvisorCheck. Grades are size-normalized against FINRA BrokerCheck disclosure records once a firm's detail record has been reviewed -- check back soon, or view the live record on FINRA BrokerCheck.
How many FINRA disclosures does UP Capital Management, Inc. have?
PlainAdvisorCheck has not yet pulled UP Capital Management, Inc.'s detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 164692.
How big is UP Capital Management, Inc.?
UP Capital Management, Inc. operates 2 branch offices and is classified by FINRA as a small firm (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UP Capital Management, Inc.'s disciplinary record?
You can verify UP Capital Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 164692. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to UP Capital Management, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to UP Capital Management, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to UP Capital Management, Inc.'s 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like UP Capital Management, Inc..
- Reading BrokerCheck Reports - How UP Capital Management, Inc.'s 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to UP Capital Management, Inc..
- Compare firms - put UP Capital Management, Inc. next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.