WF
William P. Fauzio
VANDERBILT ADVISORY SERVICES
North Brandon, CT 06471
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CRD#: 2193834
WF
Professional summary
William Paul Fauzio, who also goes by Bill Fauzio, is a registered financial advisor currently at VANDERBILT ADVISORY SERVICES located in North Brandon, Connecticut and VANDERBILT SECURITIES, LLC located in North Branford, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. William has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Fauzio
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.
Fixed Insurance Sales. Not investment related. Start date: 06/01/2023. Address: 999 Foxon Road Suite 22 North Branford, North Branford Ct, 06471. Title: Insurance Sales. Duties: Meet with clients and sell life insurance when appropriate. Time spent during regular hours: 5%.
CRS (Client Relationship Summary) - RIA
Click below to view William Paul Fauzio'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®
NoneExperience
Current
March 29, 2023 - Present
VANDERBILT ADVISORY SERVICES
Office #1: 999 Foxon Road, Suite 22, North Brandon, CT 06471RIA
CRD#: 116537
North Brandon, CT
Current
March 24, 2023 - Present
VANDERBILT SECURITIES, LLC
Office #1: 999 Foxon Road, Suite 31, North Branford, CT 06471BD
CRD#: 5953
North Branford, CT
Past
July 30, 2019 - March 28, 2023
UNION CAPITAL COMPANY
RIA
CRD#: 110301
North Branford, CT
Past
July 29, 2019 - March 28, 2023
UNION CAPITAL COMPANY
BD
CRD#: 110301
North Branford, CT
Past
June 12, 2014 - July 30, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
Brandford, CT
Past
June 12, 2014 - July 29, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
Brandford, CT
Past
April 25, 2014 - June 12, 2014
WILLIAM PAUL FAUZIO
RIA
CRD#: 167147
BRANFORD, CT
Past
June 9, 2008 - July 29, 2009
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
December 1, 2006 - July 29, 2009
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
OLD LYME, CT
Past
April 20, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
GUILFORD, CT
Past
May 23, 2003 - April 20, 2004
HARVEST CAPITAL LLC
BD
CRD#: 35723
WETHERSFIELD, CT
Past
August 28, 2002 - March 11, 2003
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
December 17, 1999 - August 2, 2002
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
July 9, 1997 - December 21, 1999
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
July 3, 1997 - July 25, 1997
FFP SECURITIES, INC.
BD
CRD#: 16337
Past
November 25, 1991 - July 8, 1997
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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".
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 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(3/29/2023)
RR
Arizona(3/13/2025)
RR
California(3/24/2023)
RR
Connecticut(3/29/2023)
IAR
Connecticut(3/29/2023)
RR
Florida(4/3/2023)
RR
Idaho(6/17/2025)
RR
New Hampshire(6/21/2023)
RR
North Carolina(4/4/2023)
RR
Pennsylvania(3/28/2023)
RR
South Carolina(3/28/2023)
RR
Tennessee(4/6/2023)
RR
Texas(5/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,470 |
| AUM (Assets Under Management) | $ 2,111,673,883 |
Red Flags
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Company Information
VANDERBILT ADVISORY SERVICES
CRD#: 116537North Brandon, CT 06471TRUST BUT VERIFY
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