Thomas D. Whitehead

NORTHWEST ASSET MANAGEMENT

Huntington Beach, CA 92648

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CRD#: 5385185

Professional summary

Thomas David Whitehead, who also goes by Tom Whitehead, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Huntington Beach, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Whitehead

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.

MR. WHITEHEAD IS THE PRINCIPAL OF REA, WHITEHEAD & ASSOCIATES PROVIDING TAX, ACCOUNTING, AND TAX CONSULTING SERVICES. STARTED: JULY 2017. 48 HOURS PER MONTH, NONE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas David Whitehead'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

May 13, 2019 - Present

NORTHWEST ASSET MANAGEMENT

Office #1: 19900 Beach Blvd. Suite G, Huntington Beach, CA 92648

RIA

CRD#: 147923

Huntington Beach, CA

Past

September 24, 2011 - April 23, 2015

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 14, 2007 - December 19, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ATLANTA, GA

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 ASSET MANAGEMENT

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

California
(5/13/2019)

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: 10/3/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/20/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/23/2011

General Securities Representative Examination

Current Firm

NORTHWEST ASSET MANAGEMENT

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

SEC notice filing (40 States and Territories)

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 Accounts	8,844
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.

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Thomas D. Whitehead

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas David Whitehead's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/2011

SIE

Date: 4/23/2015

Series 87

Date: 10/20/2011

Series 7

Date: 9/23/2011

Current Firm

NORTHWEST ASSET MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST ASSET MANAGEMENT

TRUST BUT VERIFY

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