Steven M. Willis

WILLIS FINANCIAL SERVICES

CLAYTON, CA

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CRD#: 4716524

Professional summary

Steven Mac Willis, CFP® is a registered financial advisor currently at WILLIS FINANCIAL SERVICES, INC. located in Clayton, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Steven has worked at 5 firms and has passed the Series 63 and Series 6 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.

Mr. Willis is registered as an insurance agent with various insurance agencies. This activity is is performed from the location listed in Item 1 of this form. He spends a minimal amount of time in this capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mac Willis'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^®

Certified Financial Planner

Start date: 2009

Experience

Current

January 26, 2011 - Present

WILLIS FINANCIAL SERVICES, INC.

RIA

CRD#: 155501

CLAYTON, CA

Past

April 15, 2009 - December 6, 2010

VISTA WEALTH MANAGEMENT, LLC

RIA

CRD#: 110252

SAN FRANCISCO, CA

Past

August 26, 2008 - December 9, 2010

VALMARK SECURITIES, INC.

CRD#: 31243

SAN FRANCISCO, CA

Past

September 29, 2005 - March 6, 2009

BPM WEALTH MANAGEMENT, LLC

RIA

CRD#: 126494

SAN FRANCISCO, CA

Past

March 15, 1999 - September 19, 2005

BB&R WEALTH MANAGEMENT, INC.

RIA

CRD#: 125918

WALNUT CREEK, CA

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
(1/26/2011)

IAR

Texas
(1/21/2015)

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

Series 63

Date: 9/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/25/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WILLIS FINANCIAL SERVICES, INC.

CRD#: 155501 / SEC#:

California

Registered Investment Advisory firm - (1/26/2011 Approved)

Texas

Registered Investment Advisory firm - (1/21/2015 Conditional Restricted)

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Contact information

Main Address

Clayton, CA

Mailing Address

P.o. Box 570, Clayton, CA 94517

Phone number

(925) 705-7413

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	297
AUM (Assets Under Management)	$ 65,308,749

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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Firm Stability Insights

Steven M. Willis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mac Willis's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIS FINANCIAL SERVICES, INC.

VISTA WEALTH MANAGEMENT, LLC

VALMARK SECURITIES, INC.

BPM WEALTH MANAGEMENT, LLC

BB&R WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/2008

Series 6

Date: 8/25/2008

Current Firm

WILLIS FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WILLIS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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