RH
Richard T. Holden
NORTHWEST FINANCIAL ADVISORS LLC
Herndon, VA 20170
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CRD#: 1653850
RH
Professional summary
Richard Todd Holden, who also goes by Todd Alan Holden, is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Todd Alan Holden
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.
1. 10/5/2016: NorthWest Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/19/2016 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Northwest Financial Advisors, LLC, an independent investment advisor firm. I started this business activity in September 2016. I expect to spend approximately 160 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.
2. 4/27/2017: NW Insurance Agency, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/20/2017 - 8 Hours Per Month During Securities Trading - Fixed insurance.
3. 10/22/2018 - No Business Name - Not Investment Related - Home Based - Other-Notary - Started 10/18/2018 - 0 Hours Per Month - Notary in the Commonwealth of Virginia.
4. 11/5/2019 - Northwest Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
5. 1/2/2020 - Northwest Financial Group LLC - Investment Related - At Reported Business Location(s) - Other-referring broker dealer - Started 9/22/2016 - Compensation paid through this entity in internal records.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Todd Holden's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 23, 2016 - Present
NORTHWEST FINANCIAL ADVISORS LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170RIA
CRD#: 166769
Herndon, VA
Current
September 16, 2016 - Present
LPL FINANCIAL LLC
Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170Office #2: 231 Maple Ave East, Vienna, VA 22180RIA
BD
CRD#: 6413
Herndon, VA
Current
September 22, 2016 - Present
NORTHWEST FINANCIAL GROUP LLC
Office #1: 9730 Liberia Ave, Manassas, VA 20110Office #2: 231 Maple Avenue, East, Vienna, VA 22180Office #3: 7500 Webb Drive, Gainesville, VA 20155BD
CRD#: 145064
Manassas, VA
Past
April 7, 2021 - April 8, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANASSAS, VA
Past
May 2, 2016 - September 23, 2016
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Woodbridge, VA
Past
May 2, 2016 - September 23, 2016
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Woodbridge, VA
Past
June 12, 2009 - May 2, 2016
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ALEXANDRIA, VA
Past
June 12, 2009 - May 2, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WOODBRIDGE, VA
Past
January 2, 2009 - June 12, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ARLINGTON, VA
Past
August 7, 2007 - January 5, 2009
WESTMINSTER FINANCIAL SECURITIES, INC.
BD
CRD#: 20677
BEAVERCREEK, OH
Past
July 31, 2007 - January 5, 2009
WESTMINSTER FINANCIAL ADVISORY CORP
RIA
CRD#: 110283
BEAVERCREEK, OH
Past
January 1, 2005 - August 11, 2005
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
June 8, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
September 10, 1998 - June 4, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 10, 1998 - June 4, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 21, 1987 - August 6, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
NF
NORTHWEST FINANCIAL ADVISORS LLC
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
RIA
Registered Investment Advisory firm - (6/3/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/15/2021)
RR
Arizona(5/23/2018)
RR
California(9/16/2016)
RR
Colorado(12/8/2017)
RR
Connecticut(7/3/2025)
RR
Delaware(4/12/2019)
RR
District of Columbia(9/16/2016)
RR
Florida(9/16/2016)
RR
Illinois(2/27/2019)
RR
Indiana(7/28/2017)
RR
Kansas(7/28/2017)
RR
Kentucky(10/18/2024)
RR
Maine(3/16/2018)
RR
Maryland(9/16/2016)
RR
Massachusetts(7/28/2017)
RR
Michigan(10/4/2021)
RR
Missouri(9/16/2016)
RR
Nebraska(8/16/2018)
RR
New Jersey(9/16/2016)
RR
New Mexico(3/9/2023)
RR
New York(5/9/2025)
RR
North Carolina(9/16/2016)
RR
Ohio(9/16/2016)
RR
Oklahoma(7/28/2017)
RR
Oregon(3/28/2017)
RR
Pennsylvania(10/21/2016)
RR
South Carolina(10/29/2018)
RR
Texas(11/13/2017)
RR
Virginia(9/16/2016)
IAR
Virginia(9/23/2016)
RR
Washington(1/2/2018)
RR
West Virginia(11/13/2017)
RR
Wisconsin(9/16/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NORTHWEST FINANCIAL ADVISORS LLC
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
RIA
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Contact information
Main Address
200 Spring Street Suite 120, Herndon, VA 20170
Mailing Address
Phone number
(703) 810-1072
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,924,736,060 |
Red Flags
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Company Information
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769Herndon, VA 20170TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
