Brian L. Whitaker

NORTHERN LIGHTS ADVISORS

Seattle, WA 98107

Some features on this profile are disabled

CRD#: 2463678

Professional summary

Brian Lyle Whitaker, CFP®, who also goes by Brian L Whitaker, is a registered financial advisor currently at NORTHERN LIGHTS ADVISORS, INC. located in Seattle, Washington.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 7 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian L Whitaker

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) - RIA

Click below to view Brian Lyle Whitaker'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: 2007

Experience

Current

September 12, 2025 - Present

NORTHERN LIGHTS ADVISORS, INC.

Office #1: 1448 Nw Market St Suite 500, Seattle, WA 98107

RIA

CRD#: 167824

Seattle, WA

Past

March 28, 2005 - February 28, 2025

LNW

RIA

CRD#: 113400

SEATTLE, WA

Past

March 20, 2002 - March 28, 2005

ALLISON SPIELMAN ADVISORS, LLC

RIA

CRD#: 116387

BELLEVUE, WA

Past

June 13, 2001 - September 24, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 2, 1998 - June 29, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 29, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

April 18, 1994 - November 3, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

NORTHERN LIGHTS ADVISORS, INC.

NORTHERN LIGHTS ADVISORS INC | NORTHERN LIGHTS ADVISORS, INC. | NORTHERN LIGHTS ADVISORS, INC

CRD#: 167824 / SEC#: 801-133961

RIA

Registered Investment Advisory firm - (7/25/2025 Approved)

California

Registered Investment Advisory firm - (10/24/2025 Termination Requested)

District of Columbia

Registered Investment Advisory firm - (10/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/24/2025 Terminated)

Virginia

Registered Investment Advisory firm - (10/28/2025 Terminated)

Washington

Registered Investment Advisory firm - (10/24/2025 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(9/12/2025)

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: 5/27/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/16/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1994

General Securities Representative Examination

Current Firm

NORTHERN LIGHTS ADVISORS, INC.

NORTHERN LIGHTS ADVISORS INC | NORTHERN LIGHTS ADVISORS, INC. | NORTHERN LIGHTS ADVISORS, INC

CRD#: 167824 / SEC#: 801-133961

RIA

Registered Investment Advisory firm - (7/25/2025 Approved)

California

Registered Investment Advisory firm - (10/24/2025 Termination Requested)

District of Columbia

Registered Investment Advisory firm - (10/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/24/2025 Terminated)

Virginia

Registered Investment Advisory firm - (10/28/2025 Terminated)

Washington

Registered Investment Advisory firm - (10/24/2025 Termination Requested)

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

1448 Nw Market St Suite 500, Seattle, WA 98107

Mailing Address

Phone number

(206) 203-6638

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHERN LIGHTS ADVISORS, INC. ADV BROCHURE (6/25/2025)

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 131,717,958

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

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian L. Whitaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Lyle Whitaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

LNW

ALLISON SPIELMAN ADVISORS, LLC

SENTRA SECURITIES CORPORATION

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NORTHERN LIGHTS ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/27/1994

Series 65

Date: 5/16/1994

Series 7

Date: 4/15/1994

Current Firm

NORTHERN LIGHTS ADVISORS, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHERN LIGHTS ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors