Sylvain P. Lapointe
NWF ADVISORY SERVICES | Wealth Manager
Walnut Creek, CA 94596
Some features on this profile are disabled
CRD#: 4460061
Professional summary
Sylvain P. Lapointe, who also goes by Sylvain Lapointe, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Walnut Creek, California and OSAIC WEALTH, INC. located in Walnut Creek, California.
Sylvain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Sylvain has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sylvain Lapointe
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. ARTISAN CAPITAL PARTNERS DBA POSITION: Financial Professional NATURE: Artisan Capital Partners is a DBA under/powered by NWF Advisory Group LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 60 START DATE: 05/15/2025 ADDRESS: 100 Pringle Avenue,, Suite 410, Walnut Creek CA 94596, United States DESCRIPTION: I am a financial professional marketing myself under the DBA Artisan Capital Partners. 2. INSURANCE POSITION: Statutory Agent - NATURE: Registered Investment Adviser^Insurance Agency - INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2002 ADDRESS: 100 Pringle Avenue,, Suite 410, Walnut Creek CA 94596, United States DESCRIPTION: Provide Life and Long Term Care Insurance to clients needing of Financial and Estate Planning. 3. ON POINTE CAPITAL, INC. POSITION: CEO NATURE: S Corporation This entity is a holding company for managing payroll, business expenses and 401k & Profit Sharing plans. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 100 Pringle Avenue,, Suite 410, Walnut Creek CA 94596, United States DESCRIPTION: Bookkeeping 4. NWF ADVISORY GROUP POSITION: RIA Representative NATURE: Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 24 START DATE: 01/01/2017 ADDRESS: 100 Pringle Avenue,, Suite 410, Walnut Creek CA 94596, United States DESCRIPTION: Portfolio construction, rebalancing and reallocation of the investments based on client risk tolerance. Active asset management.
CRS (Client Relationship Summary) - RIA
Click below to view Sylvain P. Lapointe'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
January 31, 2017 - Present
NWF ADVISORY SERVICES INC
Office #1: 1460 Maria Lane #290, Walnut Creek, CA 94596RIA
CRD#: 110410
Walnut Creek, CA
Current
April 9, 2002 - Present
OSAIC WEALTH, INC.
Office #1: One Walnut Creek Center 100 Pringle Avenue, Suite 410, Walnut Creek, CA 94596RIA
BD
CRD#: 23131
Walnut Creek, CA
Past
August 6, 2002 - February 5, 2013
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MENDOCINO, CA
Past
July 15, 2002 - April 18, 2017
WHJR ASSOCIATES
RIA
CRD#: 113269
CAMPBELL, 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(3/30/2010)
RR
California(6/17/2002)
IAR
California(1/31/2017)
RR
Colorado(9/9/2021)
RR
Hawaii(1/9/2015)
RR
Idaho(5/1/2019)
RR
Michigan(3/6/2015)
RR
Montana(6/18/2018)
RR
Nevada(1/6/2017)
RR
New York(3/30/2010)
RR
North Carolina(3/30/2010)
RR
Oklahoma(2/13/2015)
RR
Oregon(2/21/2008)
RR
Pennsylvania(11/9/2023)
RR
Texas(8/3/2022)
RR
Utah(3/21/2018)
RR
Washington(9/9/2004)
Exams
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
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
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
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.
Company Information
NWF ADVISORY SERVICES INC
Wealth ManagerCRD#: 110410Walnut Creek, CA 94596TRUST BUT VERIFY
Monitor Sylvain Lapointe
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
xxxxxxx
