William E. Fredrickson

NWF ADVISORY SERVICES | Financial Advisor

Santa Rosa, CA 95403

Some features on this profile are disabled

CRD#: 2748994

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Emil Fredrickson'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®

None

Experience

Current

February 13, 2017 - Present

NWF ADVISORY SERVICES INC

Office #1: 2425 Cleveland Ave. #105, Santa Rosa, CA 95403

RIA

CRD#: 110410

Santa Rosa, CA

Current

June 1, 2007 - Present

OSAIC WEALTH, INC.

Office #1: 160 Willowgreen Place, Santa Rosa, CA 95403

RIA

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

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".

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.

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

Arizona
(1/5/2024)

California
(6/1/2007)

IAR

California
(2/13/2017)

Hawaii
(7/5/2024)

Idaho
(6/1/2007)

Kansas
(3/6/2025)

Maryland
(6/5/2024)

Massachusetts
(5/29/2024)

Missouri
(7/16/2024)

Montana
(5/29/2024)

Nevada
(11/29/2023)

North Carolina
(7/17/2024)

Oregon
(1/6/2024)

Texas
(1/5/2024)

Utah
(5/29/2024)

Virginia
(7/15/2024)

Washington
(9/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1996

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: 7/9/1996

General Securities Representative Examination

SRO Registrations

FINRA

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

Brian Frost

LPL FINANCIAL LLC

IAR

SANTA ROSA, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William E. Fredrickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Emil Fredrickson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WHJR ASSOCIATES

OSAIC WEALTH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/1996

Series 63

Date: 7/26/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/9/1996

FINRA

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