BW
Bonnie S. Wusz
BW & ASSOCIATES
Orange, CA 92865
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CRD#: 1141949
BW
Professional summary
Bonnie Sue Wusz, CFP®, who also goes by Bonnie Sue Aves, is a registered financial advisor currently at BW & ASSOCIATES, INC. located in Orange, California and CETERA WEALTH SERVICES, LLC located in Orange, California.
Bonnie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Bonnie has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bonnie Sue Aves
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) BONNIE WUSZ & ASSOCIATES, INC./100% OWNER/100% TIME SPENT/BW & ASSOCIATES, INC IS OWNED BY WUSZ FAMILY TRUST/FINANCIAL ADVISOR 2)1.NAME OF OTHER BUSINESS: BW & ASSOCIATES, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2021 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Bonnie Sue Wusz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 30, 1990 - Present
BW & ASSOCIATES, INC.
Office #1: 3111 N. Tustin Street Suite 215, Orange, CA 92865RIA
CRD#: 116471
Orange, CA
Current
November 1, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3111 N. Tustin Ave., Suite 215, Orange, CA 92865BD
CRD#: 13572
Orange, CA
Past
June 29, 2012 - May 19, 2015
SB WEALTH
RIA
CRD#: 108126
SAN CLEMENTE, CA
Past
June 12, 2009 - September 23, 2015
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
ORANGE, CA
Past
January 31, 2002 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ORANGE, CA
Past
March 25, 1999 - February 2, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
May 30, 1995 - January 17, 1997
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
May 24, 1989 - July 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
December 23, 1988 - February 2, 2002
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
November 17, 1987 - January 1, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
Past
July 1, 1985 - December 1, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
June 24, 1983 - July 3, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
B&
BW & ASSOCIATES, INC.
BONNIE WUSZ & ASSOCIATES, INC. | BW & ASSOCIATES, INC.
CRD#: 116471 / SEC#: 801-108260
RIA
Registered Investment Advisory firm - (9/1/2016 Approved)Arizona
Registered Investment Advisory firm - (9/26/2016 Terminated)California
Registered Investment Advisory firm - (10/26/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/27/2019)
RR
Arizona(11/1/2017)
IAR
California(11/30/1990)
RR
California(11/1/2017)
RR
Colorado(11/1/2017)
RR
Florida(11/3/2017)
RR
Georgia(11/1/2017)
RR
Hawaii(11/1/2017)
RR
Idaho(11/1/2017)
RR
Illinois(11/1/2017)
RR
Kansas(11/1/2017)
RR
Louisiana(11/1/2017)
RR
Michigan(11/1/2017)
RR
Minnesota(11/1/2017)
RR
Missouri(11/1/2017)
RR
Montana(4/17/2018)
RR
Nebraska(1/25/2023)
RR
Nevada(11/1/2017)
RR
New Jersey(11/1/2017)
RR
New York(11/1/2017)
RR
North Carolina(11/1/2017)
RR
Oregon(11/1/2017)
RR
Pennsylvania(6/21/2018)
RR
Rhode Island(6/21/2018)
RR
South Carolina(11/1/2017)
RR
Tennessee(11/1/2017)
RR
Texas(11/1/2017)
IAR
Texas(3/16/2020)
RR
Utah(11/1/2017)
RR
Virgin Islands(6/21/2018)
RR
Washington(11/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
B&
BW & ASSOCIATES, INC.
BONNIE WUSZ & ASSOCIATES, INC. | BW & ASSOCIATES, INC.
CRD#: 116471 / SEC#: 801-108260
RIA
Registered Investment Advisory firm - (9/1/2016 Approved)Arizona
Registered Investment Advisory firm - (9/26/2016 Terminated)California
Registered Investment Advisory firm - (10/26/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3111 N. Tustin Street Suite 215, Orange, CA 92865
Mailing Address
Phone number
(714) 998-2077
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,246 |
| AUM (Assets Under Management) | $ 615,348,169 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
