Branch offices
1 office
FINRA: Small firm
CRD #135107 · FINRA BrokerCheck + SEC IAPD
Upstate Advisors Group
Upstate Advisors Group has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 1
- branch office
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 ÷ 1 offices
Firm Details
- Firm Size
- Small
- CRD Number
- 135107
Mid-pack disclosure profile
What the record shows for Upstate Advisors Group
Upstate Advisors Group (, CRD# 135107) operates 1 branch office with 0 disclosures as of July 2026.
Upstate Advisors Group carries 0 disclosures across 1 offices (clean record, Grade N/A). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational data summary for informational purposes - not financial advice. Review Upstate Advisors Group'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 Upstate Advisors Group?
Upstate Advisors Group 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 Upstate Advisors Group have?
PlainAdvisorCheck has not yet pulled Upstate Advisors Group's detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 135107.
How big is Upstate Advisors Group?
Upstate Advisors Group operates 1 branch office and is classified by FINRA as a small firm (Single-office 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 Upstate Advisors Group's disciplinary record?
You can verify Upstate Advisors Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 135107. 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
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Upstate Advisors Group's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Upstate Advisors Group's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Upstate Advisors Group's 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like Upstate Advisors Group.
- Reading BrokerCheck Reports - How Upstate Advisors Group's 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to Upstate Advisors Group.
- Compare firms - put Upstate Advisors Group 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.