WU
William M. Upson
NWF ADVISORY SERVICES | Financial Professional
WALNUT CREEK, CA 94596
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CRD#: 1241673
WU
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.
1) ST BERNIE'S PRESS, NON INVESTMENT RELATED, 1990 N. CALIF. BLVD, 8TH FLOOR WALNUT CREEK, CA. 94596, PRESIDENT, STARTED 1999, 10 HOUR PER MONTH, 0 HOURS DURING STH, ENGAGED IN THE SALE AND DISTRIBUTION OF THE BOOK, "LONG TERM CARE, ALTERNATIVES AND SOLUTIONS", ORIGINALLY PUBLISHED IN 2000. SOLD ON WEBSITES, BY CHARITIES, AND PUBLIC INTEREST GROUPS, INSURANCE AGENTS AND MY SELF WORLDWIDE. I DO SPEAKING ENGAGEMENTS TO OFFER THE BOOK, AND ALL PROCEEDS FROM THE BOOK GO TO SEVEN CHARITIES LISTED IN THE BOOK. I TAKE NO PERSONAL INCOME FROM THE SALES OF THE BOOKS. I HAVE SPOKEN TO THE FPA, NAIFA, MDRT, TOT, INSURANCE COMPANIES AND SECURITIES FIRMS WORLDWIDE. 2) STRATEGIC ASSET MANAGEMENT GROUP, INVESTMENT RELATED, 1990 N. CALIFORNIA BLVD., 8TH FLOOR, WALNUT CREEK, CA. 94596, OWNER, STARTED 1986, 80 HOURS PER MONTH, 3 HOURS DURING STH, SALES OF SECURITIES, LIFE, DISABILITY, LONG TERM CARE AND MEDICAL INSURANCE PRODUCTS. 3) NWF ADVISORY, INVESTMENT RELATED, 11835 W. OLYMPIC BLVD., SUITE 1150E LOS ANGELES, CA. 90064, STAFF ADVISOR, STARTED 1998, 30 HOURS PER MONTH, 30 HOURS DURING STH, WE CONSTANTLY REVIEW CLIENT ACCOUNTS, INVESTMENT ALLOCATIONS, FINANCIAL PLANS OF CLIENTS, INCOME AND ESTATE TAX RETURNS, AS WELL AS PERSONAL IN PERSON MEETINGS TO KEEP CURRENT ON THE CLIENT'S MULTIPLE ISSUES IN DEALING WITH US. 4) LAS AGUILAS DE DIABLO(LADD) & EAGLE SCHOLARSHIP FOUNDATION; NON INVESTMENT RELATED, 1990 N. CALIF BLVD, 8TH FLOOR WALNUT CREEK, CA. 94596, BOARD MEMBER, STARTED 1991, 1 HOUR PER MONTH, 0 HOURS DURING STH, 1 of 4 Board members, seek to raise funds and awareness of the need for scholarship aid to Eagle Scouts in our Boy Scout Council. No Security or Financial hours, no compensation. 5) LAS AGUILAS & EAGLE SCHOLARSHIP FUND POSITION: President NATURE: Scholarships for Eagle Scouts INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1991 ADDRESS: 1990 N. California Blvd, 8th Floor, Walnut Creek CA 94596, United States DESCRIPTION: Oversee the Endowment Fund for Eagle Scout Scholarships on a yearly basis 6) U W RESOURCE GROUP, INC. POSITION: President & Sole Shareholder NATURE: The C Corporation collects commissions and fees from securities transactions, as well as commissions from insurance purchases by clients.It makes no sales, and operates solely to receive funds from sources listed, and then pays bills and expenses of the business.It serves no other function or purpose. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/30/1996 ADDRESS: 1990 N California Blvd 8Fl, walnut creek CA 94596, United States DESCRIPTION: No one else is involved in the business. I act as the sole shareholder, President, and day to day manager of the corporation's activities.Pay bills and collect income.
CRS (Client Relationship Summary) - RIA
Click below to view William Monfils Upson'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
March 17, 2009 - Present
NWF ADVISORY SERVICES INC
Office #1: 1999 N. California Blvd., Suite 830, Walnut Creek, CA 94596RIA
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.
BD
CRD#: 23131
WALNUT CREEK, CA
Past
April 3, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 26, 1985 - April 11, 1986
BRAID & ASSOCIATES
BD
CRD#: 16880
Past
August 8, 1985 - March 4, 1986
OAK CREEK SECURITIES, INCORPORATED
BD
CRD#: 15712
Past
March 19, 1985 - August 14, 1985
SOUTHMARK FINANCIAL SERVICES, INC.
BD
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".
NA
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
NA
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
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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
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Company Information
NWF ADVISORY SERVICES INC
Financial ProfessionalCRD#: 110410Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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