Suzette M. Rothberg

NORTHWEST ASSET MANAGEMENT

Avila Beach, CA

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CRD#: 1994459

Professional summary

Suzette Marie Rothberg, CFP®, who also goes by Suzette Marie Novak, Suzette Novak, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Avila Beach, California.

Suzette is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Suzette has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Income Management

Budgeting

Education Planning

Are you a "fiduciary"?

Yes

Aliases

Suzette Marie Novak | Suzette Novak

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) SUZETTE ROTHBERG CONSULTING LLC POSITION: Owner DESCRIPTION: Suzette M. Rothberg is a consultant and professional speaker of practice management concepts designed for investment professionals. Ms. Rothberg is compensated by Invesco to provide speaking as an independent contractor. The content is practice management in nature centered on communication skills. Audiences are primarily financial advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: Approximately 20 hours per month, all are during securities trading hours. START DATE: 09/10/2015 ADDRESS: Same Address. INTEGRITAS WEALTH STRATEGIES - OWNER - USED FOR TAX & ACCOUNTING PURPOSES ONLY. ESTABLISHED 9/2017 Foundation for Financial Planning: investment-related; Same address; pro-bono financial planning through the Foundation for Financial Planning and affiliated charitable organizations serving people in need, specifically cancer patients. Volunteer; Start date: 02/01/19; ~8 hours per month, ~3 during securities trading hours; basis financial planning through one-on-one counseling and workshops.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suzette Marie Rothberg's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

September 8, 2017 - Present

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

Avila Beach, CA

Past

September 25, 2015 - September 8, 2017

PRESTIGE WEALTH MANAGEMENT

RIA

CRD#: 110304

WOODBURY, MN

Past

September 22, 2015 - April 21, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

LAKE ELMO, MN

Past

April 25, 2013 - September 9, 2015

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

LOS ANGELES, CA

Past

August 22, 2006 - September 9, 2015

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

April 26, 2004 - August 9, 2006

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

March 14, 1997 - August 8, 2006

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

August 7, 1996 - February 18, 1997

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

July 10, 1995 - July 19, 1996

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

October 25, 1989 - June 23, 1995

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/24/2018)

IAR

Minnesota
(9/8/2017)

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

IAR

Series 65

Date: 12/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/25/2006

Investment Company Products/Variable Contracts Principal Examination

Current Firm

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

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

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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.

Contact information

xxxxx@xxxx.xxx

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Suzette M. Rothberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suzette Marie Rothberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRESTIGE WEALTH MANAGEMENT

SECURITIES AMERICA, INC.

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

INVESCO CAPITAL MARKETS, INC.

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1999

Series 63

Date: 3/8/1991

SIE

Date: 4/21/2017

Series 7

Date: 2/26/1996

Series 6

Date: 10/19/1989

Series 26

Date: 9/25/2006

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

Contact information

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