Gregory Allen Headrick

Employer firm

Northwest Asset Management CRD 147923

$4.13B regulatory AUM 17 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Educational seminars
TAX PREPARATION

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

Current Employers

Northwest Asset Management

2835 82Nd Avenue Se Ste 100, Mercer Island, WA 98040 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2019-05-09
TX	RA	APPROVED	2008-10-09
WA	RA	APPROVED	2008-10-09

NH RA
APPROVED

Since 2019-05-09
TX RA
APPROVED

Since 2008-10-09
WA RA
APPROVED

Since 2008-10-09

Branch Locations

2835 82Nd Avenue Se Ste 100, Mercer Island, WA 98040 • 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
Purshe Kaplan Sterling Investments	Albany	NY	08/2008	01/2025
Nwam, Llc Dba Northwest Asset Management	Mercer Island	WA	08/2008	Present

08/2008 → 01/2025

Purshe Kaplan Sterling Investments

Albany, NY
08/2008 → Present

Nwam, Llc Dba Northwest Asset Management

Mercer Island, WA

Previous Registrations

2006-08-12 → 2008-08-29

Ubs Financial Services Inc.

Seattle, WA
1998-03-20 → 2006-08-12

Piper Sandler & Co.

Minneapolis, MN

Seattle, WA

Seattle, WA

Other Businesses

1) HIGHLAND CAPITAL; Not Investment Related. 1601 Fifth Ave, Suite 1800, Seattle WA 98372. Insurance. Agent. Start 2008. 4 hours per month during trading. Sell life insurance products as part of financial planning to meet client needs. 2) UCDS. Not Investment Related. Seattle, WA. Private School. Support Staff in Governing Schools. 5 hours per month, 2 during trading hours. Treasurer, Trustee, Finance and Investment Committee Member. 3) RENTAL PROPERTY. Not Investment Related. 2051 Canterbury Lane. Rental. Owner. 0 hours per month. Rental Condo. 4) RENTAL PROPERTY. Not Investment Related. 1232 & 12311/2 East 4th Street, Port Angeles WA. Rental. Owner. 0 hours per month. Landlord. 5) FAM CAPITAL PARTNERS LLC SERIES C, TO INVEST IN LENSVECTOR; OPI; PRIVATE OFFERING; DATE OF COMMITMENT - 11/30/14.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-24
S63	Uniform Securities Agent State Law Examination	1992-10-01

S65 Uniform Investment Adviser Law Examination

1998-02-24
S63 Uniform Securities Agent State Law Examination

1992-10-01

Designations

Certified Financial Planner

View on SEC IAPD