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Rufus T. Williams
SOLANO WEALTH MANAGEMENT
FAIRFIELD, CA 94534
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CRD#: 2431770
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Professional summary
Rufus Theodore Williams III, CFP®, ChFC®, who also goes by Rufus Theodore Williams, is a registered financial advisor currently at SOLANO WEALTH MANAGEMENT located in Fairfield, California and LPL FINANCIAL LLC located in Fairfield, California.
Rufus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rufus has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Investment Planning
Retirement Planning
Insurance Planning
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
Rufus Theodore Williams
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) 01/23/2002: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 10% Time Spent (2) 12/02/2024- RTW3, Inc.- Business Entity For Tax/Investment Purposes Only- Not Investment Related - At Reported Business Location(s) - Start Date 08/16/2024- 1 Hour Per Month/ 0 Hours During Trading (3) 12/02/2024 - Solano Wealth Management- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s)- Start Date 08/16/2024- 1 Hour Per Month/ During Trading (4)- 01/28/2025- Solano Wealth Investment Advisors, LLC- Registered Investment Advisor Hybrid- I provide investment advisory services to Solano Wealth Investment Advisors, LLC , an independent investment advisor firm. I started this business activity in 1/2025. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.- INV Related- At Reported Business Location(s)- Start date 08/15/2024- 10 Hours Per Month- 10 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Rufus Theodore Williams III'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®
CFP®
Start date: 2002
Experience
Current
July 1, 2024 - Present
SOLANO WEALTH MANAGEMENT
Office #1: 1300 Oliver Road Suite 210, Fairfield, CA 94534RIA
CRD#: 322037
FAIRFIELD, CA
Current
January 2, 2002 - Present
LPL FINANCIAL LLC
Office #1: 1300 Oliver Rd., Ste 210, Fairfield, CA 94534RIA
BD
CRD#: 6413
Fairfield, CA
Past
January 3, 2014 - August 20, 2024
SOLANO WEALTH MANAGEMENT, INC.
RIA
CRD#: 168720
FAIRFIELD, CA
Past
January 24, 2002 - January 21, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FAIRFIELD, CA
Past
December 12, 1996 - January 7, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
January 21, 1994 - October 11, 1996
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
SW
SOLANO WEALTH MANAGEMENT
SOLANO WEALTH INVESTMENT ADVISORS, LLC | SOLANO WEALTH MANAGEMENT
CRD#: 322037 / SEC#: 801-130590
RIA
Registered Investment Advisory firm - (7/1/2024 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.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
California(1/2/2002)
IAR
California(7/1/2024)
IAR
Texas(7/1/2024)
Exams
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
SW
SOLANO WEALTH MANAGEMENT
SOLANO WEALTH INVESTMENT ADVISORS, LLC | SOLANO WEALTH MANAGEMENT
CRD#: 322037 / SEC#: 801-130590
RIA
Registered Investment Advisory firm - (7/1/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Oliver Road Suite 210, Fairfield, CA 94534
Mailing Address
Phone number
(707) 435-8400
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 702 |
| AUM (Assets Under Management) | $ 299,590,045 |
Red Flags
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Company Information
SOLANO WEALTH MANAGEMENT
CRD#: 322037Fairfield, CA 94534TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
