Sarah E. Austin

NORTHWEST FINANCIAL SERVICES

Indianapolis, IN 46260

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CRD#: 6636294

Professional summary

Sarah E Austin, CFP®, who also goes by Sarah E Howland, is a registered financial advisor currently at NORTHWEST FINANCIAL SERVICES INC located in Indianapolis, Indiana.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sarah has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sarah E Howland

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.

As an employee of NorthWest Financial Services, Inc. (Indianapolis, IN), adviser maintains an insurance license (investment-related). Adviser spends approximately 2 hours per month during trading hours evaluating and recommending insurance for clients. Insurance license obtained in 2016.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah E Austin'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: 2017

Experience

Current

May 5, 2016 - Present

NORTHWEST FINANCIAL SERVICES INC

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

RIA

CRD#: 106805

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
(5/5/2016)

IAR

Texas
(12/2/2021)

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 65

Date: 5/5/2016

Uniform Investment Adviser Law Examination

Current Firm

NORTHWEST FINANCIAL SERVICES INC

CRD#: 106805 / SEC#: 801-42770

RIA

Registered Investment Advisory firm - (12/29/1992 Approved)

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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.

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Sarah E. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah E Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST FINANCIAL SERVICES INC

Primary Firm SEC Registration

NORTHWEST FINANCIAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2016

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

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