Barbara Williams
Barbara Williams is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Carlsbad, CA, with 43 years of industry experience. Barbara operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
1925 Palomar Oaks Way, #107, Carlsbad, CA, 92008
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Barbara is a board member for the Coastline Legacy Committee, an insurance representative, a partner in Financial Focus LLC, owner of Hovis-Williams S Corp, and a property owner. She also works as a Registered Representative with Osaic Wealth and sells insurance products, dedicating about half of her time to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Financial Focus LLC
Previous Registrations
Securities America, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Financial Focus
Mony Securities CorporationBroker
The Mutual Life Insurance Company of New YorkBroker
First Liberty Securities, INC.Broker
Ids Marketing CorporationBroker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.