VM
Victor J. Mastrella
NWF ADVISORY SERVICES
Westlake Village, CA 91361
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CRD#: 5060308
VM
Professional summary
Victor Joseph Mastrella, who also goes by VIctor Mastrella, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Westlake Village, California and OSAIC WEALTH, INC. located in Westlake Village, California.
Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Victor has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Victor Mastrella
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. LAW OFFICE OF VICTOR J MASTRELLA POSITION: Attorney at Law NATURE: Sole proprietor offering legal services. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 06/11/1996 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: Giving legal consultation, analysis and representation. 2. INSURANCE; FIXED INSURANCE; INDEPENDENT CONTRACTOR; 4 HOURS PER MONTH; START DATE: 06/13/2014 3. UPTICK WEALTH MANAGEMENT - INSURANCE POSITION: Insurance Agent NATURE: Sole Proprietorship selling Life, Health & LTC Insurance & Fixed Annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2014 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: Selling Life, Health & LTC Insurance & Fixed Annuities. 4. NWF ADVISORY SERVICES RIA POSITION: Registered Investment Advisor NATURE: Sole Proprietorship. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 03/27/2023 ADDRESS: 32107 Lindero Canyon Road, Suite 217, Westlake Village CA 91361, United States DESCRIPTION: As a RIA I meet with clients to create investment portfolios. I review the portfolios on my own and with clients as well and make adjustments as needed. 5. UPTICK WEALTH MANAGEMENT - DBA POSITION: Owner-Financial Professional NATURE: Sole Proprietorship DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 06/14/2014 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: This is my DBA which covers all of the responsibilities I have regarding my duties as a financial professional, including but not limited to, opening client accounts, providing investment advice and recommendations to clients, supervising and maintaining client accounts, particularly in fee-based manner.
CRS (Client Relationship Summary) - RIA
Click below to view Victor Joseph Mastrella'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
April 3, 2023 - Present
NWF ADVISORY SERVICES INC
Office #1: 32107 Lindero Canyon Rd. Suite 217, Westlake Village, CA 91361RIA
CRD#: 110410
Westlake Village, CA
Current
March 31, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 340 N. Westlake Blvd Suite 118, Westlake Village, CA 91362RIA
BD
CRD#: 23131
Westlake Village, CA
Past
September 8, 2022 - April 4, 2023
CETERA ADVISORS LLC
BD
CRD#: 10299
Westlake Village, CA
Past
November 12, 2020 - April 4, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WESTLAKE VILLAGE, CA
Past
June 16, 2014 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Westlake Village, CA
Past
June 13, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Westlake Village, CA
Past
September 2, 2009 - June 16, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
AGOURA HILLS, CA
Past
September 1, 2009 - June 16, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
AGOURA HILLS, CA
Past
October 31, 2008 - September 3, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WESTLAKE VILLAGE, CA
Past
October 30, 2008 - September 3, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WESTLAKE VILLAGE, CA
Past
February 5, 2007 - November 4, 2008
EDWARD JONES
RIA
CRD#: 250
WESTLAKE, CA
Past
January 3, 2006 - November 4, 2008
EDWARD JONES
BD
CRD#: 250
WESTLAKE, 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
Alabama(8/17/2023)
RR
Arizona(3/31/2023)
RR
California(3/31/2023)
IAR
California(4/3/2023)
RR
Colorado(5/1/2023)
RR
Connecticut(3/31/2023)
RR
Florida(3/31/2023)
RR
Massachusetts(3/31/2023)
RR
Nevada(3/31/2023)
RR
New Jersey(3/31/2023)
RR
New York(3/31/2023)
RR
Oregon(3/31/2023)
RR
South Carolina(3/31/2023)
RR
Washington(4/5/2023)
Exams
State Security Law Exam
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NWF ADVISORY SERVICES INC
CRD#: 110410Westlake Village, CA 91361TRUST BUT VERIFY
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