Frequently Asked Questions

FAQ

What is an independent financial advisor?
Independent Registered Investment Advisers are professional independent advisory firms that provide personalized financial advice to their clients, many of whom have complex financial needs. Because these advisors are independent, they are not tied to any particular family of funds or investment products. As fiduciaries, they are held to the highest standard of care—and are required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission or state securities regulators.
What does being a Fiduciary mean?
A fiduciary is a professional entrusted to manage assets or wealth while putting the client’s best interests first at all times. Financial advisors who follow a fiduciary standard must disclose any conflict, or potential conflict, to their clients prior to and throughout the advisory engagement. Fiduciaries will also adopt a code of ethics and will fully disclose how they are compensated.
What separates us from other financial advisors?
A combination of independence, comprehensive service, and client focus sets us apart. As an independent Registered Investment Advisor, we provide the best advice for each client’s specific situation and needs without concerning ourselves with the agenda of a parent company. Our services range from financial planning to investment management to estate planning—we can meet a wide range of needs under one roof. Finally, we are oriented toward providing each client the attention and service they deserve. We treat our clients as individuals and not numbers.
Where is my money kept?
In our advisory role, we never take custody of client assets. We utilize Charles Schwab or Fidelity as the custodian of client accounts and as our primary broker. Our relationship with Charles Schwab or Fidelity is an arm’s length transaction with no exchange of funds between Charles Schwab or Fidelity and us. When your account is established with Charles Schwab or Fidelity, you provide us with limited trading authorization on your account. This authority allows us to process trades directly in client accounts.
How do I begin?
Typically, we only need a copy of your most recent account statement and your signatures on a few forms. We will take care of setting up your new account and transferring your assets.

Videos

Financial Planner

Wealth Management

Tax Advice

CFP

Fiduciary

For Kids

PLEASE NOTE: The information being provided is strictly as a courtesy. When you link to any of the web sites provided here, you are leaving this web site. We make no representation as to the completeness or accuracy of information provided at these web sites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, web sites, information and programs made available through this web site. When you access one of these web sites, you are leaving our web site and assume total responsibility and risk for your use of the web sites you are linking to.

Company Logo

Investment advisory services are offered through UTA, LLC dba Uptown Advisors, an investment advisor registered with the U.S. Securities and Exchange Commission. Uptown Advisors only offers investment advisory services where it is appropriately registered or exempt from registration and only after clients have entered into an investment advisory agreement confirming the terms of engagement and have been provided a copy of the firm’s ADV documents.
This website is for informational purposes only and does not constitute a complete description of our investment services or performance. This website is in no way a solicitation or offer to sell securities or investment advisory services except, where applicable, in states where we are registered or where an exemption or exclusion from such registration exists. Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we, and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance. THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY ‘LINKED’ WEBSITE.
Copyright © 2021 Uptown Advisors | Powered by AdvisorFlex