Garrick Philip Updegraph

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2011 → 06/2024
  Wells Fargo Advisors Financial Network Llc
  Irvine, CA
• 06/2024 → Present
  Prospera Financial Services Inc.
  Dallas, TX

Previous Registrations

• 2011-04-28 → 2024-06-12
  Wells Fargo Advisors Financial Network, Llc
  Irvine, CA
  Irvine, CA
  Irvine, CA
  Irvine, CA
  Mission Viejo, CA
  Santa Ana, CA
  Mission Viejo, CA
  Mission Viejo, CA
• 2009-06-01 → 2011-04-21
  Morgan Stanley
  Irvine, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Irvine, CA
• 2004-09-30 → 2007-04-02
  Morgan Stanley Dw Inc.
  Irvine, CA
  Irvine, CA

Other Businesses

Up The Graph Financial Group, Inc; Investment Related - Yes; 100 Spectrum Center Dr., Suite 900, Irvine, CA 92618; DBA, Owner, President; 11/2017; 200 Hours per Month; 160 During Trading Hours; providing financial planning and investment-related services.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-27

Designations

• Certified Financial Planner

Other Names

• Garrick Updegraph