NT
Nicholas D. Tupaj
NORTHWEST FINANCIAL ADVISORS LLC
Herndon, VA 20170
Some features on this profile are disabled
CRD#: 7293764
NT
Professional summary
Nicholas David Tupaj, who also goes by Nick Tupaj, is a registered financial advisor currently at NORTHWEST FINANCIAL ADVISORS LLC located in Herndon, Virginia and LPL FINANCIAL LLC located in Herndon, Virginia.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Tupaj
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) 05/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - NORTHWEST FINANCIAL ADVISORS, LLC - INVESTMENT RELATED - HERNDON VA 20170 2) 02/14/2025 - Northwest Financial Advisors, LLC - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date:02/01/2025 - 40 Hrs/Mth - 40 Hrs During Trading.I provide investment advisory services through Northwest Financial Advisors, LLC, an independent investment advisor firm. I started this business activity in 2/2025. I expect to spend approximately 40 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. 3) 02/07/2025 - NW Insurance Agency - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:02/01/2025 - 1 Hrs/Mth - 1 Hrs During Trading. 4) 03/11/2025 - Northwest Financial Group, LLC - Investment Related - Other - Referring Broker Dealer - At Reported Business Location(s) - Start Date:02/01/2025 - 40 Hrs/Mth - 40 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas David Tupaj's 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®
NoneExperience
Current
January 24, 2025 - Present
NORTHWEST FINANCIAL ADVISORS LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170RIA
CRD#: 166769
Herndon, VA
Current
May 25, 2021 - Present
LPL FINANCIAL LLC
Office #1: 200 Spring Street, Ste 120, Herndon, VA 20170RIA
BD
CRD#: 6413
Herndon, VA
Current
February 14, 2025 - Present
NORTHWEST FINANCIAL GROUP LLC
Office #1: 200 Spring Street Suite 120, Herndon, VA 20170BD
CRD#: 145064
Herndon, VA
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".
NF
NORTHWEST FINANCIAL ADVISORS LLC
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.RR
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
RR
Arizona(7/23/2025)
RR
California(7/23/2025)
RR
Colorado(7/23/2025)
RR
Connecticut(7/23/2025)
RR
Delaware(7/23/2025)
RR
District of Columbia(7/23/2025)
RR
Florida(7/23/2025)
RR
Georgia(7/23/2025)
RR
Hawaii(7/23/2025)
RR
Illinois(7/23/2025)
RR
Indiana(7/23/2025)
RR
Iowa(7/23/2025)
RR
Kansas(7/23/2025)
RR
Kentucky(7/23/2025)
RR
Louisiana(10/23/2025)
RR
Maine(7/23/2025)
RR
Maryland(7/23/2025)
RR
Massachusetts(7/23/2025)
RR
Michigan(7/23/2025)
RR
Mississippi(10/1/2025)
RR
Missouri(7/23/2025)
RR
Montana(7/23/2025)
RR
New Hampshire(7/23/2025)
RR
New Jersey(7/23/2025)
RR
New Mexico(7/23/2025)
RR
New York(7/23/2025)
RR
North Carolina(7/24/2025)
RR
Ohio(7/24/2025)
RR
Oregon(7/23/2025)
RR
Pennsylvania(7/23/2025)
RR
South Carolina(7/23/2025)
RR
Tennessee(7/23/2025)
RR
Texas(7/23/2025)
RR
Utah(7/23/2025)
RR
Virginia(7/29/2021)
IAR
Virginia(1/24/2025)
RR
Washington(7/23/2025)
RR
West Virginia(7/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/25/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NORTHWEST FINANCIAL ADVISORS LLC
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
RIA
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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
41
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,924,736,060 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
