Unclaimed Profile

John Harold Upton

RETIREMENT CONSULTING GROUP, INC.·LAKE OSWEGO, Oregon

SIE, Series 7, Series 63, Series 6523 years registeredRETIREMENT CONSULTING GROUP, INC.

5 CENTERPOINTE DRIVE, LAKE OSWEGO, OR 97035CRD# 1363612Firm CRD# 311184

Profile Verification

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

Identity

John Harold Upton · LAKE OSWEGO, OR

Registration

CRD #1363612 · RETIREMENT CONSULTING GROUP, INC. · 23 years registered

Brand Profile

Not yet started

Career History

RETIREMENT CONSULTING GROUP, INC.

Apr 2021 – present

ARBOR POINT ADVISORS

Nov 2020 – Feb 2021

LAKE OSWEGO, OR

SECURITIES AMERICA ADVISORS, INC.

Nov 2020 – Feb 2021

LAKE OSWEGO, OR

KMS FINANCIAL SERVICES, INC

Mar 2003 – Nov 2020

PORTLAND, OR

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · March 10, 2003

Years registered · 23

Disclosure History

1989Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RETIREMENT CONSULTING GROUP, INC.

CRD 311184 · SEC 801-119724

AUM

$367M

Regulatory assets under management

Employees

195 client accounts

Services offered by RETIREMENT CONSULTING GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at RETIREMENT CONSULTING GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does John Harold Upton offer?

John Harold Upton specializes in Financial Planning, Investment Management. Contact their office in LAKE OSWEGO, Oregon for a consultation.

What are John Harold Upton's credentials?

John Harold Upton is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Harold Upton located?

John Harold Upton is based in LAKE OSWEGO, Oregon, working with RETIREMENT CONSULTING GROUP, INC.. Their office serves clients in the LAKE OSWEGO metropolitan area and surrounding communities.

How does John Harold Upton charge for services?

John Harold Upton's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RETIREMENT CONSULTING GROUP, INC.?

RETIREMENT CONSULTING GROUP, INC. has approximately 4 employees and manages $367M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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