ND
Nicole E. Davis
NORTHWEST FINANCIAL ADVISORS LLC
Herndon, VA 20170
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CRD#: 5282526
ND
Professional summary
Nicole Evette Davis, who also goes by Nicole Evette Saunders, is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Nicole has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Evette Saunders
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. 3/30/2016 - Northwest Financial Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - START 03/14/2016 * 138 Hours Per Month During Securities Trading. 2. 11/5/2019 - Northwest Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 1/2/2020 - Northwest Financial Group LLC - Investment Related - At Reported Business Location(s) - other-referring broker-dealer - Chief Compliance Officer - Start Date: 3/17/2016.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Evette Davis'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 22, 2016 - Present
NORTHWEST FINANCIAL ADVISORS LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170RIA
CRD#: 166769
Herndon, VA
Current
August 25, 2015 - Present
LPL FINANCIAL LLC
Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170RIA
BD
CRD#: 6413
Herndon, VA
Current
March 17, 2016 - Present
NORTHWEST FINANCIAL GROUP LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170BD
CRD#: 145064
Herndon, VA
Past
December 16, 2011 - August 15, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
August 3, 2009 - April 24, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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
Alabama(12/2/2021)
RR
Alaska(12/2/2021)
RR
Arizona(12/2/2021)
RR
Arkansas(12/2/2021)
RR
California(12/2/2021)
RR
Colorado(12/2/2021)
RR
Connecticut(12/2/2021)
RR
Delaware(12/2/2021)
RR
District of Columbia(12/2/2021)
RR
Florida(12/2/2021)
RR
Georgia(12/2/2021)
RR
Hawaii(12/2/2021)
RR
Idaho(12/2/2021)
RR
Illinois(12/2/2021)
RR
Indiana(12/2/2021)
RR
Iowa(12/2/2021)
RR
Kansas(12/2/2021)
RR
Kentucky(12/2/2021)
RR
Louisiana(12/2/2021)
RR
Maine(12/2/2021)
RR
Maryland(12/2/2021)
RR
Massachusetts(12/2/2021)
RR
Michigan(12/2/2021)
RR
Minnesota(12/2/2021)
RR
Mississippi(12/2/2021)
RR
Missouri(12/2/2021)
RR
Montana(12/2/2021)
RR
Nebraska(12/2/2021)
RR
Nevada(12/2/2021)
RR
New Hampshire(12/2/2021)
RR
New Jersey(12/2/2021)
RR
New Mexico(12/2/2021)
RR
New York(12/2/2021)
RR
North Carolina(12/3/2021)
RR
North Dakota(12/2/2021)
RR
Ohio(12/6/2021)
RR
Oklahoma(12/2/2021)
RR
Oregon(12/2/2021)
RR
Pennsylvania(12/2/2021)
RR
Puerto Rico(12/2/2021)
RR
Rhode Island(12/2/2021)
RR
South Carolina(12/2/2021)
RR
South Dakota(12/2/2021)
RR
Tennessee(12/2/2021)
RR
Texas(12/2/2021)
RR
Utah(12/2/2021)
RR
Vermont(12/2/2021)
RR
Virgin Islands(12/2/2021)
RR
Virginia(5/27/2016)
IAR
Virginia(6/22/2016)
RR
Washington(12/2/2021)
RR
West Virginia(12/2/2021)
RR
Wisconsin(12/2/2021)
RR
Wyoming(12/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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
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.
