Dan Maizel
Professional summary
Dan Maizel is a registered financial professional currently at NORTHWEST INVESTMENT ADVISORS, INC. located in Mercer Island, Washington.
Dan is registered as a RR (Registered Representative) and started their career in finance in 1984. Dan has worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dan Maizel's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2018 - Present
NORTHWEST INVESTMENT ADVISORS, INC.
Office #1: 9311 Se 36th Street, Mercer Island, WA 98040May 13, 2016 - November 1, 2018
SIGNATOR INVESTORS, INC.
September 25, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 10, 2002 - September 28, 2009
KMS FINANCIAL SERVICES, INC.
April 15, 1998 - December 31, 2001
TOWER SQUARE SECURITIES, INC.
March 29, 1996 - April 24, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 3, 1995 - June 27, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 16, 1989 - January 23, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 8, 1986 - September 23, 1989
PRINCIPAL SECURITIES, INC.
October 9, 1984 - May 16, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2018)
(11/9/2018)
Exams
FINRA
Current Firm
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737 / SEC#: , 8-65282
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUBB, SEAN MICHAEL | PRESIDENT/SECRETARY/CCO/CFO | 4110305 |
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 35,259,644 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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