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200 Spring Street Suite 120, Herndon, VA 20170 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2014-04-28 |
Branch Locations
200 Spring Street Suite 120, Herndon, VA 20170 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Herndon | VA | 04/2007 | Present |
| Northwest Financial Group Llc | Herndon | VA | 02/2014 | Present |
| Northwest Financial Advisors Llc | Herndon | VA | 04/2014 | Present |
1. 5/31/2007 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 10% - SELL UL, WHOLE LIFE INSURANCE, AND DISABILITY INSURANCE. OCCASIONAL FIXED ANNUITIES. 2. 6/17/2014 - Northwest Financial Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Financial Consultant - Start Date: 04/2014 - 128 Hours Per Month/Time Spent 80% - I provide investment advisory services through Northwest Financial Advisors LLC, an independent investment advisor firm. I started this business activity in 04/2014. I expect to spend approximately 128 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. 3. 11/5/2019 - Northwest Financial Advisors, LLC - Investment Related - DBA for LPL Business (entity for LPL business). 4. 1/2/2020 - Northwest Financial Group LLC - Investment Related - Other-referring broker dealer - Start Date: 2/14/2014 - Compensation paid through this entity in internal records. 5. 2/14/2023 - NW Insurance Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - NW Insurance Agency LLC Life Insurance Agent - Start Date - 12/13/2022 - 3 Hours Per Month/3 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-13 |
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