William Rosenfeld

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CRD#: 4677556

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Rosenfeld II, AIF®, who also goes by Billy Rosenfeld, William Rosenfeld, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2003. William had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Billy Rosenfeld | William Rosenfeld

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

April 13, 2017 - March 26, 2018

NORRIS FINANCIAL GROUP, LLC

RIA

CRD#: 129422

GREENVILLE, SC

Past

March 14, 2017 - March 14, 2017

OSAIC WEALTH, INC.

RIA

CRD#: 23131

GREENVILLE, SC

Past

March 14, 2017 - March 28, 2018

OSAIC WEALTH, INC.

CRD#: 23131

GREENVILLE, SC

Past

October 3, 2016 - March 14, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

BIRMINGHAM, AL

Past

September 6, 2016 - March 14, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

BIRMINGHAM, AL

Past

November 14, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 14, 2003 - February 11, 2011

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FRANKLIN, TN

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".

NORRIS FINANCIAL GROUP, LLC

CRD#: 129422 / SEC#: 801-112958

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (12/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/5/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/13/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORRIS FINANCIAL GROUP, LLC

CRD#: 129422 / SEC#: 801-112958

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (12/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2007 Terminated)

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Contact information

Main Address

605 N. Main Street, Greenville, SC 29601

Mailing Address

Phone number

(864) 235-6408

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORRIS FINANCIAL GROUP (3/24/2025)

Regulatory assets under management

Total Number of Accounts	879
AUM (Assets Under Management)	$ 251,609,978

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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Advisor Monitoring

Firm Stability Insights

William Rosenfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NORRIS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2016

Series 63

Date: 2/5/2004

SIE

Date: 3/28/2018

Series 7

Date: 9/6/2016

Series 6

Date: 11/13/2003

Current Firm

NORRIS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORRIS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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