George R. Thoreson

Some features on this profile are disabled

CRD#: 1264272

Professional summary

George Russell Thoreson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, George had worked at 4 firms, which includes NORTHWEST ASSET MANAGEMENT, WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2014 - March 31, 2017

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

Snohomish, WA

Past

November 27, 2013 - December 2, 2013

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

Snohomish, WA

Past

October 31, 2008 - November 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, WA

Past

October 31, 2008 - November 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BELLEVUE, WA

Past

April 2, 2007 - November 3, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BELLEVUE, WA

Past

April 2, 2007 - November 3, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

BELLEVUE, WA

Past

March 3, 1992 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BELLEVUE, WA

Past

May 30, 1984 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/1/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040

Mailing Address

Phone number

(206) 838-3680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (147923) (3/31/2025)

ADV PART 2 NWASSET WRAP (147923) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	8,844
AUM (Assets Under Management)	$ 3,608,262,509

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

George R. Thoreson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWEST ASSET MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/1984

Series 7

Date: 5/19/1984

Series 8

Date: 6/1/1999

Current Firm

NORTHWEST ASSET MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors