William Monfils Upson
Investment Adviser Representative at NWF Advisory Services Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
William Monfils Upson is an investment adviser representative with NWF Advisory Services Inc in Walnut Creek, CA, where they have been registered since 2009. They have worked in the securities industry since 1985 and have been registered with 3 firms, including Osaic Wealth, Inc. and Sterling Financial Services, Inc. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 24 (general securities principal), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Royal Alliance Associates, Inc.Nov 1989 – no end date reportedWalnut Creek, CA
- NWF Advisory Services, IncMar 2009 – no end date reportedLos Angeles, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About NWF Advisory Services Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 109
- Offices listed on AdvisorFinder:
- 30
- Main office:
- Los Angeles, CA
- SEC file number:
- 801-55681
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. William Monfils Upson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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