Joseph C. Wilson

NORTHWEST FINANCIAL ADVISORS LLC

Herndon, VA 20170

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CRD#: 6725815

Professional summary

Joseph Carl Wilson is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 5 firms and has passed the Series 66, Series 63, Series 3, SIE 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.

1) 01/23/2023 - Northwest Financial Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 10/11/2024 - Northwest Financial Advisors - Registered Investment Advisor Hybrid - Admin - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 160 Hours Per Month/ During Trading - I provide administrative support to Northwest Financial Advisors, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Carl Wilson'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

February 10, 2023 - Present

NORTHWEST FINANCIAL ADVISORS LLC

Office #1: 200 Spring Street Suite 120, Herndon, VA 20170

RIA

CRD#: 166769

Herndon, VA

Current

January 25, 2023 - Present

LPL FINANCIAL LLC

Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170

RIA

CRD#: 6413

Herndon, VA

Past

January 25, 2023 - January 25, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

April 1, 2022 - January 11, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WASHINGTON, DC

Past

December 14, 2021 - January 9, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

June 20, 2017 - June 22, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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 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.

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

District of Columbia
(1/25/2023)

Virginia
(1/25/2023)

IAR

Virginia
(2/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/28/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/6/2020

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHWEST FINANCIAL ADVISORS LLC

CRD#: 166769 / SEC#: 801-77994

RIA

Registered Investment Advisory firm - (6/3/2013 Approved)

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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

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHWEST FINANCIAL ADVISORS PART 2A OF FORM ADV (3/19/2025)

NORTHWEST FINANCIAL ADVISORS WRAP BROCHURE (3/19/2025)

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.

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Joseph C. Wilson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Carl Wilson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

NORTHWEST FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2022

Series 63

Date: 6/28/2017

Series 3

Date: 1/6/2020

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2017

FINRA

Current Firm

NORTHWEST FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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