Scott T. Aune

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CRD#: 3073289

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Thomas Aune, CFP® was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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. 9/29/2015 - Northwest Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 08/24/2015 - 128 Hours Per Month/120 Hours During Securities Trading - Time Spent 80% - I provide investment advisory services through Northwest Financial Advisors, LLC, an independent investment advisor firm. I started this business activity in 08/2015. I expect to spend approximately 128 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. 11/5/2019 - Northwest Financial Advisors, LLC - Investment Related - DBA for LPL Business (entity for LPL business). 3. 1/2/2020 - Northwest Financial Group LLC - Investment Related - Other-referring broker dealer - Start Date: 9/10/2015 - Compensation paid through this entity in internal records.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

September 11, 2015 - July 30, 2025

NORTHWEST FINANCIAL ADVISORS LLC

RIA

CRD#: 166769

HERNDON, VA

Past

September 10, 2015 - July 30, 2025

NORTHWEST FINANCIAL GROUP LLC

CRD#: 145064

HERNDON, VA

Past

September 3, 2015 - July 29, 2025

LPL FINANCIAL LLC

CRD#: 6413

HERNDON, VA

Past

May 26, 2009 - September 15, 2015

ORION INVESTMENT ADVISORS, LLC

RIA

CRD#: 148966

MCLEAN, VA

Past

September 16, 2005 - August 28, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

MCLEAN, VA

Past

September 16, 2005 - August 28, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MCLEAN, VA

Past

July 1, 2003 - September 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MCLEAN, VA

Past

July 1, 2003 - September 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 20, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

VIENNA, VA

Past

May 21, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 17, 1998 - November 16, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 17, 1998 - November 16, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/25/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/16/1998

General Securities Representative Examination

Current Firm

NORTHWEST FINANCIAL ADVISORS LLC

CRD#: 166769 / SEC#: 801-77994

RIA

Registered Investment Advisory firm - (6/3/2013 Approved)

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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

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHWEST FINANCIAL ADVISORS PART 2A OF FORM ADV (3/19/2025)

NORTHWEST FINANCIAL ADVISORS WRAP BROCHURE (3/19/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Scott T. Aune

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWEST FINANCIAL GROUP LLC

LPL FINANCIAL LLC

ORION INVESTMENT ADVISORS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORTHWEST FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1998

Series 63

Date: 8/20/1998

SIE

Date: 10/1/2018

Series 31

Date: 9/25/2000

Series 7

Date: 7/16/1998

Current Firm

NORTHWEST FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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