William R. Farraj

OSAIC WEALTH

Costa Mesa, CA 92626

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CRD#: 3132592

Professional summary

William Robert Farraj is a registered financial advisor currently at OSAIC WEALTH, INC. located in Costa Mesa, California.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. ICM POSITION: rep NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2010 ADDRESS: 695 Town Center Dr, Ste 530, Costa Mesa CA 92626, United States DESCRIPTION: provide clients who are interested in investment options of actvite money management 2. ICM LENDING POSITION: Statutory Agent - NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 695 Town Center Dr, Ste 530, costa mesa CA 92626, United States DESCRIPTION: i originate purchase or refinance loans for clients who need to consolidate or reduce debt or reduce to lower overall interest debt 3. INDEPENDENT CAPITAL MANAGEMENT POSITION: Other - employee NATURE: Corporation Insurance Agency - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1999 ADDRESS: 695 Town Center Dr, Ste 530, Costa Mesa CA 92626, United States DESCRIPTION: We offer our clients, who are also AIGFA clients asset protection through various types of insurance when appropriate

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Robert Farraj's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Robert Farraj'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

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 695 Town Center Dr Suite 530, Costa Mesa, CA 92626

RIA

CRD#: 23131

Costa Mesa, CA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 695 Town Center Dr Suite 530, Costa Mesa, CA 92626

RIA

CRD#: 23131

Costa Mesa, CA

Past

April 19, 2017 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

Costa Mesa, CA

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

Costa Mesa, CA

Past

December 15, 1999 - November 13, 2019

INDEPENDENT CAPITAL MANAGEMENT

RIA

CRD#: 121354

IRVINE, CA

Past

November 13, 1998 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, 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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Alabama
(9/1/2023)

Arizona
(9/1/2023)

California
(9/1/2023)

IAR

California
(9/1/2023)

Colorado
(9/1/2023)

IAR

Colorado
(6/7/2024)

Connecticut
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Hawaii
(9/1/2023)

Idaho
(9/1/2023)

Illinois
(9/1/2023)

Kansas
(9/1/2023)

Maryland
(9/1/2023)

Michigan
(9/1/2023)

Nevada
(9/1/2023)

New Mexico
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/1/2023)

North Dakota
(9/1/2023)

Ohio
(9/1/2023)

Oklahoma
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/15/2023)

South Dakota
(9/1/2023)

Tennessee
(7/22/2025)

Texas
(9/1/2023)

IAR

Texas
(5/5/2025)

Utah
(9/1/2023)

Virginia
(9/1/2023)

Washington
(9/1/2023)

Wisconsin
(9/1/2023)

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: 9/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1998

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: 9/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/29/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/21/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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William R. Farraj

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Robert Farraj's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Robert Farraj's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

INDEPENDENT CAPITAL MANAGEMENT

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1999

Series 63

Date: 10/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/3/1999

Series 6

Date: 10/5/1998

Series 51

Date: 3/29/2003

Series 24

Date: 9/9/2000

Series 26

Date: 4/21/1999

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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