William Monfils Upson

Employer firm

Nwf Advisory Services Inc CRD 110410

$6.43B regulatory AUM 109 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1989 → Present
  Royal Alliance Associates, Inc.
  Walnut Creek, CA
• 03/2009 → Present
  Nwf Advisory Services, Inc
  Los Angeles, CA

Previous Registrations

• 1997-07-08 → 2025-10-29
  Osaic Wealth, Inc.
  Walnut Creek, CA
  Walnut Creek, CA
  Walnut Creek, CA
• 1999-10-19 → 2009-03-17
  Sterling Financial Services, Inc.
  Walnut Creek, CA

Other Businesses

1) ST BERNIE'S PRESS, NON INVESTMENT RELATED, 1990 N. CALIF. BLVD, 8TH FLOOR WALNUT CREEK, CA. 94596, PRESIDENT, STARTED 1999, 10 HOUR PER MONTH, 0 HOURS DURING STH, ENGAGED IN THE SALE AND DISTRIBUTION OF THE BOOK, "LONG TERM CARE, ALTERNATIVES AND SOLUTIONS", ORIGINALLY PUBLISHED IN 2000. SOLD ON WEBSITES, BY CHARITIES, AND PUBLIC INTEREST GROUPS, INSURANCE AGENTS AND MY SELF WORLDWIDE. I DO SPEAKING ENGAGEMENTS TO OFFER THE BOOK, AND ALL PROCEEDS FROM THE BOOK GO TO SEVEN CHARITIES LISTED IN THE BOOK. I TAKE NO PERSONAL INCOME FROM THE SALES OF THE BOOKS. I HAVE SPOKEN TO THE FPA, NAIFA, MDRT, TOT, INSURANCE COMPANIES AND SECURITIES FIRMS WORLDWIDE. 2) STRATEGIC ASSET MANAGEMENT GROUP, INVESTMENT RELATED, 1990 N. CALIFORNIA BLVD., 8TH FLOOR, WALNUT CREEK, CA. 94596, OWNER, STARTED 1986, 80 HOURS PER MONTH, 3 HOURS DURING STH, SALES OF SECURITIES, LIFE, DISABILITY, LONG TERM CARE AND MEDICAL INSURANCE PRODUCTS. 3) NWF ADVISORY, INVESTMENT RELATED, 11835 W. OLYMPIC BLVD., SUITE 1150E LOS ANGELES, CA. 90064, STAFF ADVISOR, STARTED 1998, 30 HOURS PER MONTH, 30 HOURS DURING STH, WE CONSTANTLY REVIEW CLIENT ACCOUNTS, INVESTMENT ALLOCATIONS, FINANCIAL PLANS OF CLIENTS, INCOME AND ESTATE TAX RETURNS, AS WELL AS PERSONAL IN PERSON MEETINGS TO KEEP CURRENT ON THE CLIENT'S MULTIPLE ISSUES IN DEALING WITH US. 4) LAS AGUILAS DE DIABLO(LADD) & EAGLE SCHOLARSHIP FOUNDATION; NON INVESTMENT RELATED, 1990 N. CALIF BLVD, 8TH FLOOR WALNUT CREEK, CA. 94596, BOARD MEMBER, STARTED 1991, 1 HOUR PER MONTH, 0 HOURS DURING STH, 1 of 4 Board members, seek to raise funds and awareness of the need for scholarship aid to Eagle Scouts in our Boy Scout Council. No Security or Financial hours, no compensation. 5) LAS AGUILAS & EAGLE SCHOLARSHIP FUND POSITION: President NATURE: Scholarships for Eagle Scouts INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1991 ADDRESS: 1990 N. California Blvd, 8th Floor, Walnut Creek CA 94596, United States DESCRIPTION: Oversee the Endowment Fund for Eagle Scout Scholarships on a yearly basis 6) U W RESOURCE GROUP, INC. POSITION: President & Sole Shareholder NATURE: The C Corporation collects commissions and fees from securities transactions, as well as commissions from insurance purchases by clients.It makes no sales, and operates solely to receive funds from sources listed, and then pays bills and expenses of the business.It serves no other function or purpose. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/30/1996 ADDRESS: 1990 N California Blvd 8Fl, walnut creek CA 94596, United States DESCRIPTION: No one else is involved in the business. I act as the sole shareholder, President, and day to day manager of the corporation's activities.Pay bills and collect income.

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-05-07