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William Monfils Upson

Osaic Wealth, Inc.

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About William Monfils Upson

William Monfils Upson is a registered Investment Advisor Representative in the state of California, and has been in the industry since March 18, 1985. William is currently employed at Osaic Wealth, Inc. and NWF Advisory Services Inc. William is also a registered representative of NWF Advisory Services Inc. William has a Series 63, Series 24 and a Series 7 licenses.

Firm Information

William Upson is currently registered with Osaic Wealth, Inc.. Osaic Wealth, Inc. is a corporation headquartered in Scottsdale, AZ. The firm has been approved and operates as an investment advisor, offering financial planning, pension consulting, and educational seminars. Osaic Wealth, Inc. manages assets for individuals, businesses, and charitable organizations, and participates in wrap fee programs.
Osaic Wealth, Inc.

18700 N. HAYDEN ROAD

SCOTTSDALE, AZ 85255

$94.56B

Assets Under Management

39,691

Total Clients

8,460

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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William Upson’s Registration & Firm History

CA

07/08/1997 - Present

Osaic Wealth, Inc. (WALNUT CREEK CA)

NA

04/03/1986 - 11/19/1989

INTEGRATED RESOURCES EQUITY CORPORATION

NA

11/26/1985 - 04/11/1986

HORNBLOWER, UPSON, MONFILS & PROESCHER, INVESTMENTS

NA

08/08/1985 - 03/04/1986

OAK CREEK SECURITIES, INCORPORATED

NA

03/19/1985 - 08/14/1985

SOUTHMARK FINANCIAL SERVICES, INC.

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Licenses & Designations

BC

Issued 05/07/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/02/1985

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for William Monfils Upson. Review regulatory record here.
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