Michael Thomas Upton

Current Employers

Employment History

• 01/2003 → 02/2019
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Alexandria, LA
• 02/2019 → 03/2020
  Ameriprise Financial Services, Inc.
  Alexandria, LA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Alexandria, LA

Previous Registrations

• 2003-02-25 → 2019-03-05
  Lpl Financial Llc
  Alexandria, LA
  Alexandria, LA
  Marksville, LA

Other Businesses

Real Estate Ownership; Commercial; 207 Ansley Blvd., , Alexandria, LA, 71303; Not Investment-Related; 10/15/2010. Business Ownership; BCDU; partner; real estate; 207 Ansley BlvdAlexandria LA 71303, ,; Investment-Related; 10/15/2010; 0 hours per month; 0 during trading hours / JJ Uptick LLC; none; Real estate investing; 207 Ansley Blvd, , Alexandria, LA, 71303; Investment-Related; 12/01/2002; 0 hours per month; 0 during trading hours / Chubs Holdings LLC; Sole member; LLC with sole purpose is to hold personal property; 207 Ansley blvd, , Alexandria, LA, 71303; Investment-Related; 08/07/2020; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Better Business Bureau of Central LA; member; Alexandria LA, ,; Not Investment-Related; 01/01/2010; 1 to 9 hours per month; 1 to 9 during trading hours / Our Lady Of Prompt Succor School Council; member; 420 21st Street, , Alexandria, LA, 71303; Investment-Related; 08/01/2022; 1 to 9 hours per month; 0 during trading hours / Delta Chi Fraternity LSU Housing Corp.; board member; Dalrymple Drive, , Baton Rouge, LA, 70802; Not Investment-Related; 07/01/2020; 1 to 9 hours per month; 0 during trading hours / Rotary Club of Alexandria Board; President Nominee; 915 Third Street , , Alexandria, LA, 71301; Not Investment-Related; 07/01/2023; 1 to 9 hours per month; 1 to 9 during trading hours / Louisiana Sports Hall of Fame Foundation Board of Directors; Director; 800 Front St., , Natchitoches, LA, 71457; Not Investment-Related; 10/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours / Mana House Board of Directors; Member; 2655 Lee Street, , Alexandria, LA, 71301; Not Investment-Related; 09/01/2026; 1 to 9 hours per month; 1 to 9 during trading hours / District 6190; Assistant District Governor; 915 3rd Street , , Alexandria, LA, 71301; Not Investment-Related; 08/01/2026; 1 to 9 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-06-08
• S63 Uniform Securities Agent State Law Examination
  1994-10-07