WF
William E. Fredrickson
NWF ADVISORY SERVICES | Financial Advisor
Santa Rosa, CA 95403
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CRD#: 2748994
WF
Professional summary
William Emil Fredrickson, who also goes by William Joel Gay, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Santa Rosa, California and OSAIC WEALTH, INC. located in Santa Rosa, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. William has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Joel Gay
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. FINANCIAL HEALTH & WEALTH MANAGEMENT, INVESTMENT RELATED, 2425 CLEVELAND AVE, STE 105, SANTA ROSA, CA 95403, OWNER, STARTED 6/1/2008, 120 HOURS PER MONTH, 120 HOURS DURING SECURITIES TRADING HOURS, THIS IS A DBA FOR MY BUSINESS AS A FINANCIAL ADVISOR WITH ROYAL ALLIANCE ASSOCIATES AS MY BROKER DEALER, NWF ADVISORY GROUP AS RIA. 2. ROYAL ALLIANCE ASSOC. INC, INVESTMENT RELATED,2425 CLEVELAND AVE, SANTA ROSA, CA 95403, FINANCIAL ADVISOR, STARTED 6/1/2007, 8 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS, I OFTEN PRESENT VARIABLE ANNUITIES AS A PART OF OVERALL INVESTMENT ALLOCATION TO CLIENTS. 3. NWF ADVISORY GROUP POSITION: Investment Advisor Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 04/01/2017 ADDRESS: 160 Willowgreen Place, Santa Rosa CA 95403, United States DESCRIPTION: I recommend diversified portfolios and write covered call options on the portfolios for clients. I provide investment advice for retail investments and retirement accounts. 4. WILLIAM FREDRICKSON INSURANCE POSITION: Insurance Agent NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2007 ADDRESS: 2425 Cleveland Ave STE 105, Santa Rosa CA 95403, United States DESCRIPTION: I have an insurance license and often present variable annuities as a part of overall investment allocation to clients. 5. BILL FREDRICKSON INSURANCE POSITION: Insurance Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2007 ADDRESS: 160 Willowgreen Place, Santa Rosa CA 95403, United States DESCRIPTION: I have an insurance license and often present Equity Index annuities as a part of overall investment allocation to clients.
CRS (Client Relationship Summary) - RIA
Click below to view William Emil Fredrickson'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
February 13, 2017 - Present
NWF ADVISORY SERVICES INC
Office #1: 2425 Cleveland Ave. #105, Santa Rosa, CA 95403RIA
CRD#: 110410
Santa Rosa, CA
Current
June 1, 2007 - Present
OSAIC WEALTH, INC.
Office #1: 160 Willowgreen Place, Santa Rosa, CA 95403RIA
BD
CRD#: 23131
Santa Rosa, CA
Past
June 5, 2007 - April 18, 2017
WHJR ASSOCIATES
RIA
CRD#: 113269
SANTA ROSA, CA
Past
June 4, 2007 - February 5, 2013
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
July 8, 1997 - June 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANTA ROSA, CA
Past
July 10, 1996 - June 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SANTA ROSA, CA
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.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
Arizona(1/5/2024)
RR
California(6/1/2007)
IAR
California(2/13/2017)
RR
Hawaii(7/5/2024)
RR
Idaho(6/1/2007)
RR
Kansas(3/6/2025)
RR
Maryland(6/5/2024)
RR
Massachusetts(5/29/2024)
RR
Missouri(7/16/2024)
RR
Montana(5/29/2024)
RR
Nevada(11/29/2023)
RR
North Carolina(7/17/2024)
RR
Oregon(1/6/2024)
RR
Texas(1/5/2024)
RR
Utah(5/29/2024)
RR
Virginia(7/15/2024)
RR
Washington(9/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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 AdvisorCRD#: 110410Santa Rosa, CA 95403TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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