Thomas J. Sherwood

HEADWATER INVESTMENT CONSULTING,INC.

Mcminnville, OR 97128

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CRD#: 5821112

Professional summary

Thomas James Sherwood, CFP® is a registered financial advisor currently at HEADWATER INVESTMENT CONSULTING,INC. located in Mcminnville, Oregon.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 2 firms and has passed the Series 66, Series 31 and Series 7 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.

Tributary Properties LLC; not investment-related; McMinnville, Oregon; real estate holding company; co-owner; 4 hours/month (1 during trading)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Sherwood'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

Start date: 2015

Experience

Current

January 3, 2012 - Present

HEADWATER INVESTMENT CONSULTING,INC.

Office #1: 408 Se 1st St., Mcminnville, OR 97128

RIA

CRD#: 133009

Mcminnville, OR

Past

September 24, 2010 - November 18, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PORTLAND, OR

Past

August 24, 2010 - November 18, 2011

MORGAN STANLEY

CRD#: 149777

PORTLAND, OR

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".

HEADWATER INVESTMENT CONSULTING,INC.

CRD#: 133009 / SEC#: 801-64965

RIA

Registered Investment Advisory firm - (11/29/2005 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

Oregon
(1/3/2012)

IAR

Texas
(5/30/2024)

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: 9/23/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/29/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/23/2010

General Securities Representative Examination

Current Firm

HEADWATER INVESTMENT CONSULTING,INC.

CRD#: 133009 / SEC#: 801-64965

RIA

Registered Investment Advisory firm - (11/29/2005 Approved)

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Contact information

Main Address

408 Se 1st St., Mcminnville, OR 97128

Mailing Address

Phone number

(503) 565-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEADWATER INVESTMENTS, ADV PART 2A (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1,437
AUM (Assets Under Management)	$ 466,280,000

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 J. Sherwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Sherwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEADWATER INVESTMENT CONSULTING,INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

HEADWATER INVESTMENT CONSULTING,INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2010

Series 31

Date: 10/29/2010

Series 7

Date: 8/23/2010

Current Firm

HEADWATER INVESTMENT CONSULTING,INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEADWATER INVESTMENT CONSULTING,INC.

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