UPSIDE FINANCIAL, LLC
CRD #164816 SEC #801-78119 SAN FRANCISCO, CA 888-506-1850
SEC Registered Broker-Dealer
Total AUM
$663.3K
Discretionary
$0
Employees
2
Clients
--
Accounts
20
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 3, 2014
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HAM, JUNEY | I | CMO | NA | Control |
| HAM, JUNEY | I | CMO | NA | Control |
| HAM, JUNEY | I | CMO | NA | Control |
| HAM, JUNEY | I | CMO | NA | Control |
| HAM, JUNEY | I | CMO | NA | Control |
| HAM, JUNEY | I | CMO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| KIMBERLY, THOMAS ALESBURY | I | CEO | NA | Control |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| SELF, JONATHAN ANDREW | I | CFO/CCO | NA | |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
| THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| HAM, JUNEY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
| KIMBERLY, THOMAS ALESBURY | I | THE HELPFUL FINANCIAL SERVICES COMPANY, LLC | D | Control |
Registrations
Federal
IA
Mar 3, 2014 REGISTERED
Notice Filings (13)
AL CA CT GA MA MD NJ NY OR PA RI VA WA
Address
340 RITCH STREET#6
SAN FRANCISCO, CA 94107
United States
Phone: 888-506-1850