Kathryn M. Humphries

NORTHWEST ADMINISTRATORS

Seattle, WA 98102-3305

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CRD#: 3080655

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katy Humphries

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 Kathryn Mary Humphries'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®

None

Experience

Current

March 23, 2017 - Present

NORTHWEST ADMINISTRATORS INC

Office #1: 2323 Eastlake Ave East Suite 400, Seattle, WA 98102-3305

RIA

CRD#: 106544

Seattle, WA

Past

May 20, 2014 - May 4, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SEATTLE, WA

Past

September 6, 2013 - May 4, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SEATTLE, WA

Past

June 6, 2011 - September 9, 2011

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 26, 2008 - July 1, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

December 11, 2003 - August 4, 2008

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

AUSTIN, TX

Past

September 21, 2000 - October 30, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

October 7, 1999 - September 21, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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 ADMINISTRATORS INC

CRD#: 106544 / SEC#: 801-10787

RIA

Registered Investment Advisory firm - (5/25/1975 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

Washington
(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

State Security Law Exam

IAR

Series 65

Date: 5/14/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/1999

General Securities Representative Examination

Current Firm

NORTHWEST ADMINISTRATORS INC

CRD#: 106544 / SEC#: 801-10787

RIA

Registered Investment Advisory firm - (5/25/1975 Approved)

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Contact information

Main Address

2323 Eastlake Ave East Suite 400, Seattle, WA 98102-3305

Mailing Address

Phone number

(206) 329-4900

Established

Firm type

Fiscal year end

# of Employees

381

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NWA FORM ADV PART 2 - 2025 (3/17/2025)

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 490,759,781

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

Kathryn M. Humphries

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Mary Humphries's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

OSAIC FA, INC.

CHARLES SCHWAB & CO., INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

NORTHWEST ADMINISTRATORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2014

Series 63

Date: 11/13/1999

SIE

Date: 5/4/2015

Series 7

Date: 10/6/1999

Current Firm

NORTHWEST ADMINISTRATORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST ADMINISTRATORS INC

TRUST BUT VERIFY

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