Our Staff has compiled our research into a database of FINRA Broker Disclosures for Upmarket Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Hui Chen | 5985515 | 1 | 02/15/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |