Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALICE LORRAINE BOYTZ
CRD#: 3084352
IA
Investment Adviser
NORTHWEST ASSET MANAGEMENTCRD#: 147923 2835 82ND AVENUE SE
STE 100
MERCER ISLAND, WA 98040
Registration History
20002002200420062008201020122014201620182020202220242026IANORTHWEST ASSET MANAGEMENT (CRD# 147923)2023 - Present (1 year)IANORTHWEST ASSET MANAGEMENT (CRD# 147923)2010 - 2016 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2008 (2 years)IAPIPER JAFFRAY & CO. (CRD# 665)1999 - 2006 (7 years)
License(s)

State Registrations

IA
Washington 10/25/2023
Current Registration(s)
IA
NORTHWEST ASSET MANAGEMENT (CRD#:147923)
2835 82ND AVENUE SE STE 100, MERCER ISLAND, WA 98040
Registered with this firm since 10/25/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2010 - 03/31/2016 NORTHWEST ASSET MANAGEMENT (CRD#:147923) MERCER ISLAND, WA
IA
 08/12/2006 - 08/29/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SEATTLE, WA
IA
 02/02/1999 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) SEATTLE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.