Role at Creative Planning Institutional Advisors
- Title on Schedule A
- President
- Control
- Jonathan Upham is a control person of Creative Planning Institutional Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Jonathan Upham has held the filed role since February 2015.
The firm
Form ADV filed 25 August 2026
Career on record
Jonathan Upham has been registered through Creative Planning Institutional Advisors since October 2006.
- Creative PlanningCurrent– present · 1 year, · Adviser representative · Firm CRD 105348
- Passed SIE · 2018
- Sageview Private Client Group, LLC– · 10 yearsNewport Beach, CA · Adviser representative · Firm CRD 134997
- Sageview Private Client Group, LLC– · 1 yearIrvine, CA · Adviser representative · Firm CRD 134997
- – present · 20 yearsNewport Beach, CA · Adviser representative · Firm CRD 126777
- Passed Series 65 · 2006
- Passed Series 7 and Series 63 · 1997
Registrations and exams
Jonathan Upham has a current investment-adviser registration in California and Utah and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 17 October 2006 |
| Utah | Investment adviser representative | Approved | 29 March 2021 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 September 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 November 1997 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 18 November 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Jonathan Tyler Upham
- CRD
- 2957743
- Registration status
- Investment adviser registration
- Office
- 4000 MACARTHUR BLVD., SUITE 1050, Newport Beach, CA 92660
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Jonathan Upham work?
Jonathan Upham has been President of Creative Planning Institutional Advisors, LLC since February 2015, and is a control person of the firm.
Is Jonathan Upham a financial advisor?
Yes. Jonathan Upham has a current investment-adviser registration in California and Utah, through Creative Planning Institutional Advisors since October 2006, as of 17 October 2026.
How many years of experience does Jonathan Upham have?
Jonathan Upham has worked in the financial industry for 28 years as of 17 October 2026, counted from 8 June 1998, across 3 adviser firms.
What exams has Jonathan Upham passed?
Jonathan Upham has passed 4 licensing exams: the Series 7, Series 63, Series 65 and SIE. The earliest, the Series 7, was passed in November 1997.
Where is Jonathan Upham based?
Jonathan Upham’s registered office is in Newport Beach, CA.
Leadership at Creative Planning Institutional Advisors
- Karen PrangeChief Compliance Officer