Thomas K. Turner
NORTHWEST FINANCIAL ADVISORS LLC
Herndon, VA 20170
Some features on this profile are disabled
CRD#: 2255163
Professional summary
Thomas K. Turner III, CFP®, who also goes by Thomas King Turner III, Thomas King III Turner, Tom Turner, is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas King Turner Iii | Thomas King Iii Turner | Tom Turner
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. 3/22/2013 - NORTHWEST FINANCIAL GROUP, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - TIME SPENT 100% - EMPLOYEE OF NW FINANCIAL GROUP, LLC - NWFG, LLC IS WHOLLY OWNED BY NW CAPITAL MANAGEMENT, WHICH IS WHOLLY OWNED BY NW CREDIT UNION. 2. 10/30/2013 - Northwest Financial Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Investment Advisor - Start Date: 08/2013 - Time Spent 50% - I provide investment advisory services through Northwest Financial Advisors LLC, an independent investment advisor firm. I started this business activity in 08/2013. I expect to spend approximately 80 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: 9/11/2008 - Compensation paid through this entity in internal records. 5. 2/8/2023 - Northwest Insurance Agency LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance Agent - Start Date - 12/06/2022 - 5 Hours Per Month/1 Hours During Securities Trading 6. 10/18/2024 - Northwest Financial Advisors, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/08/2024 - 20 Hours Per Month/ During Trading - I provide investment advisory services through Northwest Financial Advisors, LLC, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 20 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas K. Turner III'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®
CFP®
Start date: 1998
Experience
Current
August 20, 2013 - Present
NORTHWEST FINANCIAL ADVISORS LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170Office #2: 231 Maple Avenue, East, Vienna, VA 22180RIA
CRD#: 166769
Herndon, VA
Current
September 8, 2008 - 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 11, 2008 - Present
NORTHWEST FINANCIAL GROUP LLC
Office #1: 231 Maple Avenue, East, Vienna, VA 22180BD
CRD#: 145064
Vienna, VA
Past
October 15, 2008 - August 20, 2013
NORTHWEST FINANCIAL GROUP LLC
RIA
CRD#: 145064
HERNDON, VA
Past
September 9, 2008 - August 30, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
August 13, 2004 - July 17, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ALEXANDRIA, VA
Past
March 30, 2004 - July 17, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ALEXANDRIA, VA
Past
December 3, 2003 - March 31, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
August 20, 1997 - November 3, 2003
OSAIC FA, INC.
RIA
CRD#: 3978
VIENNA, VA
Past
August 25, 1992 - November 3, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 25, 1992 - November 3, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
Arizona(1/24/2019)
RR
California(8/25/2020)
RR
Colorado(11/6/2017)
RR
Connecticut(7/18/2012)
RR
Delaware(2/10/2022)
RR
District of Columbia(10/17/2008)
RR
Florida(12/12/2008)
RR
Georgia(6/30/2023)
RR
Illinois(6/12/2017)
RR
Indiana(2/6/2016)
RR
Kentucky(7/11/2025)
RR
Maryland(9/9/2008)
RR
Massachusetts(4/10/2019)
RR
Michigan(7/28/2021)
RR
Minnesota(3/28/2018)
RR
Mississippi(3/3/2010)
RR
Nevada(10/18/2024)
RR
New Jersey(8/5/2019)
RR
New York(2/20/2013)
RR
North Carolina(10/20/2008)
RR
Ohio(2/16/2023)
RR
Oklahoma(8/14/2023)
RR
Pennsylvania(9/16/2013)
RR
Rhode Island(7/24/2023)
RR
South Carolina(1/8/2019)
RR
South Dakota(7/17/2013)
RR
Tennessee(2/14/2013)
RR
Texas(7/28/2015)
IAR
Texas(7/28/2015)
RR
Virginia(9/9/2008)
IAR
Virginia(8/20/2013)
RR
Washington(11/7/2008)
RR
West Virginia(11/30/2018)
RR
Wisconsin(9/9/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NORTHWEST FINANCIAL ADVISORS LLC
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
RIA
Registered Investment Advisory firm - (6/3/2013 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
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
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.
