Daniel C. Novak

WILLIAMS & NOVAK WEALTH MANAGEMENT

Westlake Village, CA

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CRD#: 6348004

Professional summary

Daniel Christopher Novak, CFP®, who also goes by Daniel Christopher Novak, is a registered financial advisor currently at WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC located in Westlake Village, California and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Daniel has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Christopher Novak

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) Accident & Health and Life Insurance; Investment-Related; Agent 2) Estate Documents Pro, LLC; Non Investment-Related; Estate Document Referral Service; Licensee 3) William & Novak Wealth Management; Investment related; Co-owner/CFO/COO/Wealth Manager. 2625 Townsgate Rd, Suite 330, Westlake Village, CA 91361 160 hours a month. Start date 3/1/2019. 4) William & Novak Insurance; Non-Investment related. Investor/Owner, Passive Investment/Holding Co. 17051 N 29th Ave, Phoenix AZ 85053.Start date 12/9/2022 5) Williams & Novak Tax Partners, LLC: Non-Investment related. Owner & manager, 2625 Townsgate Rd., Ste 330, Westlake Village, CA 91361.Start date 9/15/2025 6) Williams & Novak Tax Partners, LLC: Non-Investment related. Owner & manager, 2625 Townsgate Rd., Ste 330, Westlake Village, CA 91361.Start date 9/15/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Christopher Novak'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

August 9, 2023 - Present

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

RIA

CRD#: 324173

Westlake Village, CA

Current

November 8, 2024 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701

CRD#: 40077

Red Bank, NJ

Past

October 15, 2024 - November 8, 2024

INTEGRITY BROKERAGE, LLC

CRD#: 117589

Los Angeles, CA

Past

May 31, 2023 - November 28, 2023

DYNAMIC

RIA

CRD#: 151367

Westgate Village, CA

Past

April 28, 2023 - April 28, 2023

DYNAMIC

RIA

CRD#: 151367

THOUSAND OAKS, CA

Past

March 22, 2019 - June 1, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Pasadena, CA

Past

March 22, 2019 - June 1, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Pasadena, CA

Past

March 11, 2019 - May 17, 2019

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Burbank, CA

Past

March 8, 2019 - May 17, 2019

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

LAGUNA NIGUEL, CA

Past

June 26, 2015 - March 5, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Pasadena, CA

Past

June 26, 2015 - March 5, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Pasadena, CA

Past

December 23, 2014 - January 14, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

WOODLAND HILLS, CA

Past

September 30, 2014 - January 14, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

WOODLAND HILLS, 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".

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

GLEN OAKS FINANCIAL | WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC | WILLIAMS & NOVACK WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH AND TAXES

CRD#: 324173 / SEC#: 801-128269

RIA

Registered Investment Advisory firm - (7/6/2023 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.

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

Alaska
(8/19/2025)

Arizona
(8/8/2025)

IAR

California
(8/9/2023)

California
(11/8/2024)

Florida
(9/25/2025)

Iowa
(8/8/2025)

IAR

Louisiana
(10/11/2023)

Massachusetts
(11/8/2024)

IAR

Missouri
(11/28/2023)

New Jersey
(11/8/2024)

IAR

New York
(10/11/2023)

Oklahoma
(11/8/2024)

Tennessee
(8/8/2025)

IAR

Texas
(10/11/2023)

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 66

Date: 12/22/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2014

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

GLEN OAKS FINANCIAL | WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC | WILLIAMS & NOVACK WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH AND TAXES

CRD#: 324173 / SEC#: 801-128269

RIA

Registered Investment Advisory firm - (7/6/2023 Approved)

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Contact information

Main Address

2625 Townsgate Road Suite 330, Westlake Village, CA 91361

Mailing Address

Phone number

(626) 689-7181

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A WNWM (9/22/2025)

Regulatory assets under management

Total Number of Accounts	831
AUM (Assets Under Management)	$ 263,947,400

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

Daniel C. Novak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Christopher Novak's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

INTEGRITY BROKERAGE, LLC

DYNAMIC

DYNAMIC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

TCFG INVESTMENT ADVISORS, LLC

TCFG WEALTH MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/30/2014

FINRA

Nasdaq Stock Market

Current Firm

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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