WM
William S. Murray
FERMATA ADVISORS
Petaluma, CA
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CRD#: 2779868
WM
Professional summary
William Stephen Murray, CFP®, who also goes by Steve Murray, is a registered financial advisor currently at FERMATA ADVISORS located in Petaluma, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. William has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Murray
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. NAME OF OTHER BUSINESS: HBW ADVISORY SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: HBW ADVISORY SERVICES LLC PRIMARILY SERVICES THE FINANCIAL PLANNING AND INVESTMENT MANAGEMENT NEEDS OF INDIVIDUALS AND SMALL BUSINESSES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 06/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND HEALTH 3. NAME OF OTHER BUSINESS: HBW TAX PARTNERS SERVICES, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 01/2014 POSITION/TITLE/RELATIONSHIP: CALIFORNIA REGISTERED TAX PREPARER APX NUMBER OF HOURS PER WEEK: 30 DURING TAX SEASON APX NUMBER OF HOURS DURING TRADING HOURS: 30 DURING TAX SEASON BRIEF DESCRIPTION OF DUTIES: PREPARE INDIVIDUAL AND SMALL BUSINESS TAX RETURNS 4. NAME OF OTHER BUSINESS: HBW PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2015 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: PAGE ONE INVESTMENT RELATED: NO ADDRESS: 211 SOUTH HILL DR. SUITE D BRISBANE, CA NATURE OF BUSINESS: SPECIAL EVENT FOR NEW RELEASES OF CARS START DATE: 03/2016 POSITION/TITLE/RELATIONSHIP: DRIVER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: DRIVER 4. NAME OF OTHER BUSINESS: STEVE MURRAY INSURANCE AGENT & TAX PREPARER INVESTMENT RELATED: NO ADDRESS: 18997 HIGHWAY 12 STE 112 SONOMA CA 95476 NATURE OF BUSINESS: HEALTH INSURSANCE SALES AND TAX PREPARATION START DATE: 2012-01-01 APX NUMBER OF HOURS PER WEEK: 160 APX NUMBER OF HOURS DURING TRADING HOURS: 20 PERCENTAGE OF TOTAL YEARLY COMPENSATION: 90 BRIEF DESCRIPTION OF DUTIES: SELL INSURANCE, PREPARE TAX RETURNS.
CRS (Client Relationship Summary) - RIA
Click below to view William Stephen Murray'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: 2015
Experience
Current
January 12, 2023 - Present
FERMATA ADVISORS
RIA
CRD#: 305614
Petaluma, CA
Past
July 25, 2017 - December 31, 2020
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SONOMA, CA
Past
June 26, 2017 - December 31, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SONOMA, CA
Past
March 24, 2015 - September 14, 2023
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
SONOMA, CA
Past
February 9, 2015 - July 24, 2017
HBW SECURITIES LLC
BD
CRD#: 136959
SONOMA, CA
Past
July 12, 2013 - October 2, 2013
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
PETALUMA, CA
Past
July 12, 2013 - October 2, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
December 13, 2010 - August 2, 2011
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SANTA ROSA, CA
Past
December 13, 2010 - August 2, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SANTA ROSA, CA
Past
October 24, 2006 - January 6, 2011
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
June 23, 2006 - January 6, 2011
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
March 21, 2006 - July 7, 2006
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
PETALUMA, CA
Past
January 13, 2005 - March 20, 2006
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
August 23, 2000 - January 21, 2003
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
October 14, 1996 - September 13, 1999
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
CEDAR RAPIDS, IA
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".
FA
FERMATA ADVISORS
FERMATA 401(K) LLC | SONOMA WEALTH ADVISORS, LLC | SONOMA WEALTH ADVISORS | RICH FINANCIAL LLC | RICH FINANCIAL | FERMATA, LLC | FERMATA TAX | FERMATA ADVISORY, LLC | FERMATA ADVISORS, LLC | FERMATA ADVISORS LLC | FERMATA ADVISORS | FERMATA 401K
CRD#: 305614 / SEC#: 801-117411
RIA
Registered Investment Advisory firm - (9/30/2019 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(1/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
FERMATA ADVISORS
FERMATA 401(K) LLC | SONOMA WEALTH ADVISORS, LLC | SONOMA WEALTH ADVISORS | RICH FINANCIAL LLC | RICH FINANCIAL | FERMATA, LLC | FERMATA TAX | FERMATA ADVISORY, LLC | FERMATA ADVISORS, LLC | FERMATA ADVISORS LLC | FERMATA ADVISORS | FERMATA 401K
CRD#: 305614 / SEC#: 801-117411
RIA
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Contact information
Main Address
539 Broadway Suite A, Sonoma, CA 95476
Mailing Address
Phone number
(707) 938-7414
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,095 |
| AUM (Assets Under Management) | $ 1,145,263,457 |
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.
