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Home > Financial Services > Stock Brokers > Uprr Securities, Llc

Uprr Securities, Llc

Uprr Securities, Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Uprr Securities began operations in May, 1996 when Robert Irvine, Peter Miller and Robert Walsh combined their considerable expertise in the banking, business, technology and securities arenas to fashion services to solve the ever increasing unclaimed property and due diligence issues plaguing corporations, transfer agents and financial institutions. Ron Smith, an expert in securities operations technology, joined Uprr a partner in 1999.

At first, the services were provided chiefly to securities transfer agents and their corporate clients to assist them in analyzing and resolving unclaimed property compliance issues. Today, Uprr Securities provides a comprehensive set of services that extend from providing securities-related unclaimed property reporting to providing the wide range of services.

Uprr Securities services include Consulting Services, Advisory services, Merger, acquisition processing and related owner location services. Consulting Services are for the corporate trust and corporate institutional custody areas of financial institutions. Advisory services are for corporations that include unclaimed property liability analysis and compliance execution. Even though Uprr a relatively young organization, it now has a well-established reputation for providing necessary assistance in a flexible and creative manner at a reasonable cost.

Uprr Securities works with your staff to create a unique, timely, and cost effective process that ensures your company's full compliance with all state laws and regulations. Ultimately, when compliance issues have been resolved and necessary record reconciliation has occurred, maintaining compliance can be turned over to your company's personnel, if you prefer.

All of Uprr services are provided with these objectives in mind. Uprr is hired by client companies to protect their interests while legitimately achieving and maintaining unclaimed property compliance. For this reason, they pride themselves on assisting their clients in achieving the two prime objectives.

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