Denise Sharnell Proctor

Current Employers

Northwest Financial Advisors Llc

200 Spring Street Suite 120, Herndon, VA 20170 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2026-06-18
VA	RA	APPROVED	2026-06-18

MD RA
APPROVED

Since 2026-06-18
VA RA
APPROVED

Since 2026-06-18

Branch Locations

200 Spring Street Suite 120, Herndon, VA 20170 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M&T Securities	Buffalo	NY	05/2009	06/2026
M&T Bank	Buffalo	NY	05/2009	06/2026
Lpl Financial Llc	Germantown	MD	06/2021	Present
Northwest Financial Group, Llc	Herndon	VA	06/2026	Present

05/2009 → 06/2026

M&T Securities

Buffalo, NY
05/2009 → 06/2026

M&T Bank

Buffalo, NY
06/2021 → Present

Lpl Financial Llc

Germantown, MD
06/2026 → Present

Northwest Financial Group, Llc

Herndon, VA

Previous Registrations

2014-01-02 → 2021-06-09

M&T Securities, Inc.

Rockville, MD

Gaithersburg, MD

Germantown, MD

Rockville, MD

Germantown, MD

Gaithersburg, MD

Rockville, MD

Rockville, MD

Rockville, MD

Rockville, MD

Buffalo, NY

Rockville, MD

Poolesville, MD

Bethesda, MD

Potomac, MD

Potomac, MD

Bethesda, MD

Annapolis, MD

Baltimore, MD

Pikesville, MD

Buffalo, NY

Baltimore, MD

Leesburg, VA

Gaithersburg, MD

Rockville, MD

Rockville, MD

Rockville, MD

Baltimore, MD

Other Businesses

1- 06/30/2026 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Northwest Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - Start Date 06/22/2026 - 173 hours per month/ 130 hours during trading 2- 06/30/2026 - NW Insurance Agency, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 06/22/2026 - 10 hours per month/ 5 hours during trading 3- 07/01/2026 - Northwest Financial Advisors, LLC - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 06/22/2026 - 173 hours per month/ 130 hours during trading - I provide investment advisory services through Northwest Financial Advisors, an independent investment advisor firm. I started this business activity in 6/2026. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4- 07/01/2026 - Northwest Financial Group, LLC - Other: Referring Broker Dealer - Investment Related - At Reported Business Location(s) - Start Date 06/22/2026 - 160 hours per month/ 130 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-12-26
S63	Uniform Securities Agent State Law Examination	2006-11-10

S65 Uniform Investment Adviser Law Examination

2013-12-26
S63 Uniform Securities Agent State Law Examination

2006-11-10

Designations

Other Names

Denise S. Proctor
Denise Proctor

View on SEC IAPD