Sean Michael Grubb

Northwest Investment Advisors, INC

24 Years of Experience

4 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementInsurance Planning

Northwest Investment Advisors, INC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

9 advisors

Number of Clients

95 clients

Average Client Portfolio

$371K average

Assets Under Management

$35.3M

Location

9 S Washington St Ste 210, Spokane, WA, 99201

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History

Regulatory History (4)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

April 2020

Settled

Customer Dispute

June 2019

Settled

Customer Dispute

May 2019

Settled

Customer Dispute

June 2018

Award / Judgment

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Employment History

Current Registrations

Northwest Investment Advisors, INC

March 2004 - Present · 21 yrs 11 mos

Northwest Investment Advisors, INC.Broker

March 2004 - Present · 21 yrs 11 mos

Previous Registrations

Foresters Securities, INC.Broker

March 2001 - August 2003 · 2 yrs 5 mos

Pruco Securities CorporationBroker

March 2000 - October 2000 · 7 mos

State Registrations12 states

AZCACOGAIDMTNVORTXVAWAWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.