Denise S. Proctor

NORTHWEST FINANCIAL ADVISORS

HERNDON, VA 20170

CRD#: 4852215

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Professional summary

Denise Sharnell Proctor, who also goes by Denise S. Proctor, Denise Proctor, is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.

Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Denise has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Denise S. Proctor | Denise Proctor

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 Denise Sharnell Proctor'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®

None

Experience

Current

June 18, 2026 - Present

NORTHWEST FINANCIAL ADVISORS LLC

Office #1: 200 Spring Street Suite 120, Herndon, VA 20170

RIA

CRD#: 166769

HERNDON, VA

Current

June 9, 2021 - Present

LPL FINANCIAL LLC

Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170

RIA

CRD#: 6413

HERNDON, VA

Past

June 9, 2021 - June 17, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCKVILLE, MD

Past

January 2, 2014 - June 9, 2021

M&T SECURITIES, INC.

RIA

CRD#: 17358

ROCKVILLE, MD

Past

May 22, 2009 - June 9, 2021

M&T SECURITIES, INC.

CRD#: 17358

ROCKVILLE, MD

Past

September 3, 2008 - May 28, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

BALTIMORE, MD

Past

January 1, 2005 - August 18, 2008

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

GREENBELT, MD

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/30/2022)

Colorado
(6/29/2021)

Delaware
(6/9/2021)

District of Columbia
(6/9/2021)

Florida
(6/9/2021)

Georgia
(1/19/2023)

Illinois
(6/9/2021)

Kentucky
(6/9/2021)

Maine
(12/21/2023)

Maryland
(6/9/2021)

IAR

Maryland
(6/18/2026)

Nevada
(6/9/2021)

New Hampshire
(2/2/2026)

New Jersey
(6/29/2021)

New York
(6/9/2021)

North Carolina
(6/9/2021)

Ohio
(5/17/2025)

Oregon
(9/28/2021)

Pennsylvania
(6/9/2021)

South Carolina
(6/9/2021)

Texas
(6/9/2021)

Utah
(6/29/2021)

Virginia
(6/9/2021)

IAR

Virginia
(6/18/2026)

Washington
(6/9/2021)

West Virginia
(6/9/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/26/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/21/2009

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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 (3/9/2026)

NORTHWEST FINANCIAL ADVISORS WRAP BROCHURE (3/9/2026)

Regulatory assets under management

Total Number of Accounts	2,756
AUM (Assets Under Management)	$ 1,243,981,468

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

Denise S. Proctor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Sharnell Proctor's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NORTHWEST FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/26/2013

Series 63

Date: 11/10/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/2/2011

Series 6

Date: 12/20/2004

Series 26

Date: 5/21/2009

FINRA

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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