Unclaimed Profile

Joncarlo Ruben Mark

UPWELLING CAPITAL GROUP LLC·DAVIS, California

SIE, Series 62, Series 63, Series 6511 years registeredUPWELLING CAPITAL GROUP LLC

2820 5TH ST., DAVIS, CA 95618CRD# 6249625Firm CRD# 164653

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joncarlo Ruben Mark · DAVIS, CA

Registration

CRD #6249625 · UPWELLING CAPITAL GROUP LLC · 11 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: UPWELLING CAPITAL GROUP LLC

UPWELLING CAPITAL GROUP LLC

Mar 2025 – Mar 2025

DAVIS, CA

UPWELLING CAPITAL GROUP LLC

Jan 2017 – Apr 2023

DAVIS, CA

UPWELLING CAPITAL GROUP LLC

Nov 2014 – Dec 2016

DAVIS, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 62

Series 63

Series 65

Registration record

First registered · November 3, 2014

Years registered · 11

Disclosure History

2011Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

UPWELLING CAPITAL GROUP LLC

CRD 164653 · SEC 801-127905

AUM

$115M

Regulatory assets under management

Employees

4 client accounts

Services offered by UPWELLING CAPITAL GROUP LLC

Per Form ADV

Pension consulting

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

Nonprofits & Foundations

View all advisors at UPWELLING CAPITAL GROUP LLC →

Introduction

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Frequently Asked Questions

What services does Joncarlo Ruben Mark offer?

Joncarlo Ruben Mark specializes in Retirement Planning.

What are Joncarlo Ruben Mark's credentials?

Joncarlo Ruben Mark is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joncarlo Ruben Mark located?

Joncarlo Ruben Mark is based in DAVIS, California, last registered with UPWELLING CAPITAL GROUP LLC.

How does Joncarlo Ruben Mark charge for services?

Joncarlo Ruben Mark's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees, other: liquidation management fee. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UPWELLING CAPITAL GROUP LLC?

UPWELLING CAPITAL GROUP LLC has approximately 7 employees and manages $115M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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