Aaron J. Pettersen

NORTHWEST FINANCIAL SERVICES

INDIANAPOLIS, IN 46260

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CRD#: 3099298

Professional summary

Aaron James Pettersen, CFA, CFP® is a registered financial advisor currently at NORTHWEST FINANCIAL SERVICES INC located in Indianapolis, Indiana.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Aaron has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

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.

ADVISOR IS 5% OWNER/SHAREHOLDER OF NORTHWEST FINANCIAL SERVICES INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron James Pettersen'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Experience

Current

April 1, 2004 - Present

NORTHWEST FINANCIAL SERVICES INC

Office #1: 9333 N. Meridian St. Suite 300, Indianapolis, IN 46260

RIA

CRD#: 106805

INDIANAPOLIS, IN

Past

April 22, 2004 - May 25, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

INDIANAPOLIS, IN

Past

June 30, 2003 - April 22, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

August 24, 1998 - July 11, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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 SERVICES INC

CRD#: 106805 / SEC#: 801-42770

RIA

Registered Investment Advisory firm - (12/29/1992 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

Indiana
(4/1/2004)

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: 9/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1998

General Securities Representative Examination

Current Firm

NORTHWEST FINANCIAL SERVICES INC

CRD#: 106805 / SEC#: 801-42770

RIA

Registered Investment Advisory firm - (12/29/1992 Approved)

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Contact information

Main Address

9333 N Meridian St Ste 300, Indianapolis, IN 46260

Mailing Address

Phone number

(317) 844-0448

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWFS BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	375
AUM (Assets Under Management)	$ 551,414,090

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/15/2025	Cover Page	Report
12/28/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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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Aaron J. Pettersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron James Pettersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST FINANCIAL SERVICES INC

KESTRA INVESTMENT SERVICES, LLC

NATIONAL PLANNING CORPORATION

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

NORTHWEST FINANCIAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1998

Series 7

Date: 8/20/1998

Current Firm

NORTHWEST FINANCIAL SERVICES INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHWEST FINANCIAL SERVICES INC

TRUST BUT VERIFY

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