William F. Flynn

UP NORTH FINANCIAL

TRAVERSE CITY, MI 49684

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CRD#: 802730

Professional summary

William Francis Flynn, who also goes by Bill Flynn, is a registered financial advisor currently at UP NORTH FINANCIAL, LLC located in Traverse City, Michigan.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. William has worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Flynn

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) - RIA

Click below to view William Francis Flynn'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®

None

Experience

Current

December 23, 2021 - Present

UP NORTH FINANCIAL, LLC

Office #1: 223 East State Street Suite 200, Traverse City, MI 49684

RIA

CRD#: 150996

TRAVERSE CITY, MI

Past

September 14, 2010 - June 11, 2021

UP NORTH FINANCIAL, LLC

RIA

CRD#: 150996

TRAVERSE CITY, MI

Past

July 31, 1993 - January 12, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TRAVERSE CITY, MI

Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 1, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 26, 1978 - October 17, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

October 23, 1974 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

UP NORTH FINANCIAL, LLC

CRD#: 150996 / SEC#: 801-120926

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2021 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.

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

Michigan
(12/23/2021)

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 65

Date: 12/18/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 2/22/1982

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 10/19/1974

General Securities Representative Examination

Current Firm

UP NORTH FINANCIAL, LLC

CRD#: 150996 / SEC#: 801-120926

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2021 Terminated)

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Contact information

Main Address

223 East State Street Suite 200, Traverse City, MI 49684

Mailing Address

Phone number

(231) 929-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UP NORTH FINANCIAL, LLC DISCLOSURE BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,010
AUM (Assets Under Management)	$ 186,101,656

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 F. Flynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Francis Flynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

UP NORTH FINANCIAL, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

UP NORTH FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2009

Series 63

Date: 8/23/1985

Series 5

Date: 2/22/1982

PC

Date: 9/8/1977

Series 7

Date: 10/19/1974

Current Firm

UP NORTH FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UP NORTH FINANCIAL, LLC

TRUST BUT VERIFY

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