William M. Upson

NWF ADVISORY SERVICES | Financial Professional

WALNUT CREEK, CA 94596

Some features on this profile are disabled

CRD#: 1241673

Professional summary

William Monfils Upson, CLU® is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Walnut Creek, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Monfils Upson's CRS (Customer Relationship Summary).

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®

CLU^®

Chartered Life Underwriter

Experience

Current

March 17, 2009 - Present

NWF ADVISORY SERVICES INC

Office #1: 1999 N. California Blvd., Suite 830, Walnut Creek, CA 94596

RIA

CRD#: 110410

WALNUT CREEK, CA

Past

October 19, 1999 - March 17, 2009

STERLING FINANCIAL SERVICES, INC.

RIA

CRD#: 113646

WALNUT CREEK, CA

Past

July 8, 1997 - October 29, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WALNUT CREEK, CA

Past

November 19, 1989 - October 29, 2025

OSAIC WEALTH, INC.

CRD#: 23131

WALNUT CREEK, CA

Past

April 3, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 26, 1985 - April 11, 1986

BRAID & ASSOCIATES

CRD#: 16880

Past

August 8, 1985 - March 4, 1986

OAK CREEK SECURITIES, INCORPORATED

CRD#: 15712

Past

March 19, 1985 - August 14, 1985

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(3/17/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1985

General Securities Principal Examination

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

xxxxxxx

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

EAGLE STRATEGIES LLC

IAR

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William M. Upson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Monfils Upson's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

BRAID & ASSOCIATES

OAK CREEK SECURITIES, INCORPORATED

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1985

Series 24

Date: 5/2/1985

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

Contact information

Similar Advisors