A complete list of active advisors currently associated with Upright Financial Corp

Warmer can help you find a great advisor at Upright Financial Corp or one who fits your needs even better.

The firm is an SEC‑registered investment adviser that primarily serves individual clients, including high‑net‑worth households, and also accepts a limited range of institutional clients such as banks, pension and profit‑sharing plans, trusts, charitable organizations, and corporations. It offers comprehensive financial planning and discretionary portfolio management for stocks, mutual funds, trust accounts and pension accounts, and provides scenario analysis and periodic performance tracking for clients. The firm applies a mix of fundamental and technical analysis with a stated long‑term, value‑oriented approach, categorizing client accounts into Focus, Growth, or Growth & Income strategies and adjusting allocations to clients’ risk tolerance and time horizon. Portfolio management is discretionary and may include use of margin and options, interim cash holdings in stressed markets, and semiannual account reviews and client communications. Distinctive aspects compared with many peers include operating or sponsoring affiliated pooled investment vehicles and serving investment company clients, offering performance‑based fees for certain qualified accounts, and maintaining a formal relationship with a pension consultant for defined‑benefit and defined‑contribution plan administration. The firm’s planners may also act in insurance agency capacities in some planning engagements and the firm and its principal have been the subject of SEC enforcement activity and a subsequent SEC complaint, matters disclosed in the ADV.

To learn more about the advisors currently working at Upright Financial Corp, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.