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Advisor at NORTHWEST ASSET MANAGEMENT
MERCER ISLAND, WA | Seattle, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NORTHWEST ASSET MANAGEMENT | Independent wealth | Feb 8, 2021 | n/a | yes | MERCER ISLAND, WA|Seattle, WA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Nov 7, 2020 | Feb 5, 2021 | no | SEATTLE, WA | Previous registration |
| KMS FINANCIAL SERVICES, INC | Former SEC adviser | Dec 3, 2013 | Nov 7, 2020 | no | SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | NORTHWEST ASSET MANAGEMENT | Feb 5, 2021 | Feb 8, 2021 | 3 | Firm change | Ibd to RIA |
| KMS FINANCIAL SERVICES, INC | SECURITIES AMERICA ADVISORS, INC. | Nov 7, 2020 | Nov 7, 2020 | 0 | Bulk transfer | Ibd to ibd |