Gregory A. Headrick
NORTHWEST ASSET MANAGEMENT
Mercer Island, WA 98040
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CRD#: 2270615
Professional summary
Gregory Allen Headrick, CFP®, CIMA® is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Mercer Island, Washington.
Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Gregory has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Estate Planning
Tax Planning
Employee and Employer Plan Ben...
Education Planning
Retirement Planning
Investment Planning
Insurance Planning
Are you a "fiduciary"?
Yes
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.
1) HIGHLAND CAPITAL; Not Investment Related. 1601 Fifth Ave, Suite 1800, Seattle WA 98372. Insurance. Agent. Start 2008. 4 hours per month during trading. Sell life insurance products as part of financial planning to meet client needs. 2) UCDS. Not Investment Related. Seattle, WA. Private School. Support Staff in Governing Schools. 5 hours per month, 2 during trading hours. Treasurer, Trustee, Finance and Investment Committee Member. 3) RENTAL PROPERTY. Not Investment Related. 2051 Canterbury Lane. Rental. Owner. 0 hours per month. Rental Condo. 4) RENTAL PROPERTY. Not Investment Related. 1232 & 12311/2 East 4th Street, Port Angeles WA. Rental. Owner. 0 hours per month. Landlord. 5) FAM CAPITAL PARTNERS LLC SERIES C, TO INVEST IN LENSVECTOR; OPI; PRIVATE OFFERING; DATE OF COMMITMENT - 11/30/14.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Allen Headrick'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: 2002
Experience
Current
October 9, 2008 - Present
NORTHWEST ASSET MANAGEMENT
Office #1: 2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040RIA
CRD#: 147923
Mercer Island, WA
Past
January 2, 2013 - January 15, 2025
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
MERCER ISLAND, WA
Past
August 21, 2008 - January 2, 2013
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
MERCER ISLAND, WA
Past
August 12, 2006 - August 29, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
August 12, 2006 - August 29, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SEATTLE, WA
Past
March 20, 1998 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
SEATTLE, WA
Past
September 28, 1992 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
SEATTLE, 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".
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
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
New Hampshire(5/9/2019)
IAR
Texas(10/9/2008)
IAR
Washington(10/9/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
CRD#: 147923 / SEC#: 801-69483
RIA
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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
54
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
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