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9333 N Meridian St Ste 300, Indianapolis, IN 46260 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-12-02 |
| IN | RA | APPROVED | 2011-11-09 |
Branch Locations
9333 N Meridian St Ste 300, Indianapolis, IN 46260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwest Financial Services, Inc. | Indianapolis | IN | 06/2011 | Present |
AS AN EMPLOYEE OF NORTHWEST FINANCIAL SERVICES, INC. (INDIANAPOLIS, IN), ADVISER MAINTAINS AN INSURANCE LICENSE (INVESTMENT-RELATED). ADVISER SPENDS APPROXIMATELY 2 HOURS PER MONTH DURING TRADING HOURS EVALUATING AND RECOMMENDING INSURANCE FOR CLIENTS. EMPLOYEE RELATIONSHIP STARTED IN 2011. ADVISER IS 30% OWNER/SHAREHOLDER AND VICE PRESIDENT OF NWFS. ADVISOR OWNS AND FUNDS SHOW PIGS AS A SOLE PROPRIETOR, AT HIS HOME ADDRESS. STARTED IN 9/1/2016, HE SPENDS ABOUT 1/2 HOUR PER MONTH ON THIS NON INVESTMENT-RELATED ENDEAVOR DURING SECURITIES TRADING HOURS. ADVISOR OWNS AND OPERATES A SMALL BUSINESS AS A SOLE PROPRIETOR CALLED TTF NUTRITION. THIS IS LOCATED AT HIS HOME ADDRESS AND STARTED 6/23/2024. THE BUSINESS SELLS LIVESTOCK SUPPLEMENTS. HE SPENDS ABOUT 3-5 HOUR PER MONTH ON THIS NON INVESTMENT-RELATED ENDEAVOR DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-11-08 |
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