Holly M. Wharton

NORTHWEST FINANCIAL SERVICES

Indianapolis, IN 46260

Some features on this profile are disabled

CRD#: 5402724

Professional summary

Holly Marie Wharton, CFP®, who also goes by Holly Marie Olmstead, is a registered financial advisor currently at NORTHWEST FINANCIAL SERVICES INC located in Indianapolis, Indiana.

Holly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Holly has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Holly Marie Olmstead

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 Holly Marie Wharton'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

Experience

Current

November 13, 2024 - Present

NORTHWEST FINANCIAL SERVICES INC

Office #1: 9333 N Meridian St Ste 300, Indianapolis, IN 46260

RIA

CRD#: 106805

Indianapolis, IN

Past

October 17, 2008 - June 21, 2017

NORTHWEST FINANCIAL SERVICES INC

RIA

CRD#: 106805

INDIANAPOLIS, IN

Past

September 11, 2007 - May 31, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

INDIANAPOLIS, IN

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 SERVICES INC

CRD#: 106805 / SEC#: 801-42770

RIA

Registered Investment Advisory firm - (12/29/1992 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

Indiana
(11/13/2024)

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

IAR

Series 66

Date: 10/15/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/10/2007

General Securities Representative Examination

Current Firm

NORTHWEST FINANCIAL SERVICES INC

CRD#: 106805 / SEC#: 801-42770

RIA

Registered Investment Advisory firm - (12/29/1992 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

9333 N Meridian St Ste 300, Indianapolis, IN 46260

Mailing Address

Phone number

(317) 844-0448

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWFS BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	375
AUM (Assets Under Management)	$ 551,414,090

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/15/2025	Cover Page	Report
12/28/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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.

Similar Advisors

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Tammy Williams

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Holly M. Wharton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Marie Wharton's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST FINANCIAL SERVICES INC

NORTHWEST FINANCIAL SERVICES INC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

NORTHWEST FINANCIAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2007

Series 7

Date: 9/10/2007

Current Firm

NORTHWEST FINANCIAL SERVICES INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHWEST FINANCIAL SERVICES INC

TRUST BUT VERIFY

Similar Advisors