Dan C. Bethel
Professional summary
Dan Charles Bethel is a registered financial professional currently at NORTHWEST INVESTMENT ADVISORS, INC. located in Spokane, Washington.
Dan is registered as a RR (Registered Representative) and started their career in finance in 1984. Dan has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dan Charles Bethel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2016 - Present
NORTHWEST INVESTMENT ADVISORS, INC.
Office #1: 9 S Washington St Ste 210, Spokane, WA 99201Office #2: 9 S Washington St Ste 210, Spokane, WA 99201March 5, 2015 - December 31, 2015
RICHFIELD ORION INTERNATIONAL, INC.
February 17, 2012 - October 30, 2014
INTEGRITY ALLIANCE, LLC.
May 26, 2011 - August 4, 2011
ALLSTATE FINANCIAL SERVICES, LLC
August 12, 2009 - February 11, 2011
FBL MARKETING SERVICES, LLC
January 12, 2009 - July 22, 2009
USAA FINANCIAL PLANNING SERVICES
June 2, 2008 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
March 24, 2008 - July 22, 2009
USAA FINANCIAL ADVISORS, INC.
March 14, 2001 - June 23, 2003
CITISTREET EQUITIES LLC
November 30, 1995 - February 23, 2001
HORACE MANN INVESTORS, INC.
July 27, 1989 - March 8, 1990
COVENANT SECURITIES, INC.
August 11, 1988 - November 7, 1988
MARKETING ONE SECURITIES, INC.
December 4, 1984 - February 10, 1987
HORACE MANN INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/29/2016)
(5/6/2025)
(11/11/2020)
(4/27/2021)
(3/30/2021)
(6/10/2018)
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 |
Red Flags
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Company Information
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737Spokane, WA 99201TRUST BUT VERIFY
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