Kathryn Mary Humphries
Professional Summary
Kathryn Mary Humphries, who also goes by Katy Humphries, is a registered financial advisor currently at NORTHWEST ADMINISTRATORS INC located in Seattle, Washington. Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kathryn has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katy Humphries
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
NORTHWEST ADMINISTRATORS INC
Contact Information
Main Address
2323 Eastlake Ave East Suite 400, Seattle, WA 98102-3305Phone Number
(206) 329-4900# of Employees
380SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
6AUM (Assets Under Management)
$114,794,748Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NORTHWEST ADMINISTRATORS INC
State Registrations and Notice Filings
(3/23/2017)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Mary Humphries's CRS (Customer Relationship Summary).
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