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Up North Financial, LLC CRD 150996
$204M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
223 East State Street Suite 200, Traverse City, MI 49684 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2026-08-17 |
| TX | RA | APPROVED | 2021-12-23 |
Branch Locations
223 East State Street Suite 200, Traverse City, MI 49684 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Up North Financial, Llc | Traverce City | MI | 08/2009 | Present |
| Purshe Kaplan Sterling Investments | Traverce City | MI | 08/2009 | Present |
(1) PURSHE KAPLAN STERLING INVESTMENTS, INC. - INVESTMENT-RELATED - TRAVERCE CITY, MI - BROKER-DEALER - REGISTERED REPRESENTATIVE - 08/2009 - APPROX 16 HRS/MONTH - APPROX 16 HRS/MONTH DURING TRADING HRS - SALE OF SECURITIES PRODUCTS. (2) INDEPENDENT INSURANCE AGENT - INVESTMENT-RELATED - TRAVERCE CITY, MI - INSURANCE SALES - INSURANCE PRODUCER - 03/2011 - APPROX 16 HRS/MONTH DURING TRADING HRS - SALE OF INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-13 |
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