NK
Neetu Kohli
NORTHWEST FINANCIAL ADVISORS LLC
Herndon, VA 20170
Some features on this profile are disabled
CRD#: 5266903
NK
Professional summary
Neetu Kohli is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.
Neetu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Neetu has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 9 and Series 10 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.
1) 06/02/2021 - Northwest Financial Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/07/2021 2) 06/02/2021 - Neetu Kohli - Author of a children's reading book - Non-Inv Rel - Out of Residential Address - Start: 05/2021 3) 7/22/2021 - Northwest Financial Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 06/07/2021 - 144 Hours Per Month/8 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Northwest Financial Advisors LLC, an independent investment advisor firm. I started this business activity in 6/2021. I expect to spend approximately 144 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 05/05/2023 - Northwest Financial Insurance Agency LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 12/06/2022 - 5 Hours Per Month/1 Hours During Securities Trading 5) 02/22/2024 - Blooming Unicorn, LLC - Other - Reading my children's books - Not Investment Related - Home Based - Start Date 01/28/2024 - 150 Hours Per Month/ 0 Hours During Trading 6) 11/14/2024 - Northwest Financial Group, LLC - Financial Institution Duty - Investment Related - At Reported Business Location(s) - Start Date 06/07/2021 - 160 Hours Per Month/ 8 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Neetu Kohli'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®
NoneExperience
Current
June 17, 2021 - Present
NORTHWEST FINANCIAL ADVISORS LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170RIA
CRD#: 166769
Herndon, VA
Current
June 7, 2021 - Present
LPL FINANCIAL LLC
Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170RIA
BD
CRD#: 6413
Herndon, VA
Current
May 20, 2022 - Present
NORTHWEST FINANCIAL GROUP LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170BD
CRD#: 145064
Herndon, VA
Past
May 29, 2019 - June 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WASHINGTON, DC
Past
May 29, 2019 - June 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WASHINGTON, DC
Past
May 16, 2018 - March 18, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
BETHESDA, MD
Past
May 16, 2018 - March 18, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
BETHESDA, MD
Past
March 2, 2018 - May 16, 2018
UNITED BROKERAGE SERVICES, INC
RIA
CRD#: 39062
FALLS CHURCH, VA
Past
May 16, 2017 - May 16, 2018
UNITED BROKERAGE SERVICES, INC
BD
CRD#: 39062
FALLS CHURCH, VA
Past
June 16, 2008 - May 1, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
VIENNA, VA
Past
November 2, 2007 - March 26, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
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".
NF
NORTHWEST FINANCIAL ADVISORS LLC
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.RR
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
RR
Arizona(5/31/2025)
RR
California(5/31/2025)
RR
Delaware(5/31/2025)
RR
District of Columbia(6/10/2025)
RR
Florida(5/31/2025)
RR
Georgia(5/31/2025)
RR
Illinois(5/31/2025)
RR
Maine(5/31/2025)
RR
Maryland(6/7/2021)
RR
Massachusetts(5/31/2025)
RR
Michigan(5/31/2025)
RR
Montana(5/31/2025)
RR
New Jersey(5/31/2025)
RR
New York(5/31/2025)
RR
North Carolina(6/2/2025)
RR
Ohio(6/3/2025)
RR
Pennsylvania(5/31/2025)
RR
South Carolina(5/31/2025)
RR
Tennessee(5/31/2025)
RR
Texas(5/31/2025)
RR
Virginia(6/7/2021)
IAR
Virginia(6/17/2021)
RR
Washington(5/31/2025)
RR
West Virginia(5/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NORTHWEST FINANCIAL ADVISORS LLC
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
RIA
Registered Investment Advisory firm - (6/3/2013 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
41
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,924,736,060 |
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 FINANCIAL ADVISORS LLC
CRD#: 166769Herndon, VA 20170TRUST BUT VERIFY
Monitor Neetu Kohli
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
