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John Lee

John Lee

NORTHWEST ASSET MANAGEMENT | Vice President, Financial Consultant
Federal Way, WA
Some features on this profile are disabled
CRD#: 4334258
John Lee

Professional summary

John Lee, CFP® is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Federal Way, Washington.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. John has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I am dedicated to helping our clients work toward financial success through personalized guidance and planning. Each client's situation is unique. As such, a proper plan needs to be tailored to one's situation, concerns, and goals. I work with our clients by listening; relying on experience, knowledge, and objectivity to provide sound guidance; and partnering with our clients to implement change and progress.
top-8-questions

Question & Answer

What are your service offerings?
Socially Responsible Investing
Estate Planning
Employee and Employer Plan Ben...
Budgeting
Small Business Planning
Long-term Care
Insurance Planning
Social Security Planning
Retirement Income Management
Tax Planning
Retirement Planning
Comprehensive Financial Planni...
Education Planning
Debt Management
Life Transitions
Investment Planning
What is your minimum asset requirement?
1
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lee'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: 2016

Education

University of Washington

Bachelor of Arts (BA) in Business Administration - Accounting and Information Systems

2004

Experience

Current

November 3, 2025 - Present

NORTHWEST ASSET MANAGEMENT

RIA
CRD#: 147923
Federal Way, WA
Past

March 31, 2025 - September 25, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
FEDERAL WAY, WA
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
TUKWILA, WA
Past

August 15, 2012 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
TUKWILA, WA
Past

February 16, 2012 - September 25, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
TUKWILA, WA

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".
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC

CRD#: 147923 / SEC#: 801-69483

RIA
Registered Investment Advisory firm - (8/20/2008 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
(11/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2012
General Securities Representative Examination

Current Firm

NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC

CRD#: 147923 / SEC#: 801-69483

RIA
Registered Investment Advisory firm - (8/20/2008 Approved)
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Contact information

Main Address
2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040
Mailing Address
Phone number
(206) 838-3680
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (147923) (3/31/2025)
ADV PART 2 NWASSET WRAP (147923) (3/31/2025)

Regulatory assets under management

Total Number of Accounts8,844
AUM (Assets Under Management)$ 3,608,262,509

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.

Company Information

NORTHWEST ASSET MANAGEMENT

Vice President, Financial ConsultantCRD#: 147923Federal Way, WA

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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