Sandra A. Murray

NORTHWEST INVESTMENT ADVISORS

Duluth, GA

Some features on this profile are disabled

CRD#: 1407964

Professional summary

Sandra Ann Murray is a registered financial advisor currently at NORTHWEST INVESTMENT ADVISORS, INC. located in Duluth, Georgia.

Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Sandra has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

OUTSIDE BUSINESS ACTIVITY (1) BD MANAGEMENT SERVICES IS INVESTMENT-RELATED ONLY IN THAT I MAY PROVIDE CONSULTING AND/OR MANAGEMENT SERVICES TO BROKER/DEALERS OR OTHER BUSINESSES. STARTED MARCH 2000. (2)MURRAY FINE ARTS & ANTIQUES. I PRODUCE OIL PAINTINGS & MAKE SEMI-PRECIOUS JEWELRY. SOLE PROPRIETOR. STARTED SUMMER 2004. LESS THAN 20 HOURS PER WEEK, NONE DURING TRADING HOURS. (I CONDUCT BOTH BUSINESSES OUT OF AN OFFICE IN MY HOME.) (3) TAX PREPARER & BOOKKEEPER - JANUARY 2014 TO PRESENT. IN SEASON HOURS ARE 50+ PER WEEK. OFF SEASON HOURS ARE 20 HOURS OR LESS PER WEEK. (4) GENERAL BUSINESS CONSULTING - BUSINESS/ADMINISTRATIVE SUPPORT TO UPSTATE SOUTH CAROLINA BUSINESS OWNERS. BEGAN JANUARY OF 2014 TO PRESENT. LESS THAN 40 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Ann Murray's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sandra Ann Murray's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 8, 2014 - Present

NORTHWEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 109737

Duluth, GA

Current

April 29, 2014 - 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 99201Office #3: 9 S Washington St Suite 210, Spokane, WA 99201

RIA

CRD#: 109737

Spokane, WA

Past

January 17, 2012 - May 7, 2012

L.M. KOHN & COMPANY

RIA

CRD#: 27913

ATLANTA, GA

Past

January 17, 2012 - May 7, 2012

L.M. KOHN & COMPANY

CRD#: 27913

ATLANTA, GA

Past

January 13, 2011 - January 17, 2012

MIDSOUTH CAPITAL, INC.

RIA

CRD#: 35039

ATLANTA, GA

Past

October 19, 2006 - July 20, 2007

MOODY CAPITAL SOLUTIONS, INC

CRD#: 15989

ATLANTA, GA

Past

June 30, 2006 - December 31, 2010

MIDSOUTH CAPITAL, INC.

RIA

CRD#: 35039

ATLANTA, GA

Past

June 26, 2006 - January 17, 2012

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

July 22, 2004 - May 12, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

July 22, 2004 - May 17, 2006

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

April 8, 2004 - May 12, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ATLANTA, GA

Past

April 8, 2004 - May 17, 2006

ADVANTAGE CAPITAL CORPORATION

RIA

CRD#: 146

ATLANTA, GA

Past

May 2, 2003 - January 12, 2004

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

ATLANTA, GA

Past

March 21, 2002 - January 29, 2004

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 11, 1997 - February 16, 2000

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

March 1, 1995 - December 31, 1995

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

Past

January 29, 1992 - July 12, 2000

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

March 8, 1990 - June 28, 1993

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

August 17, 1988 - March 6, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 17, 1988 - March 14, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

January 19, 1988 - March 19, 1990

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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.

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

Georgia
(5/7/2014)

IAR

Georgia
(5/8/2014)

Washington
(5/7/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 12/29/2010

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 4/17/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTHWEST INVESTMENT ADVISORS, INC.

NORTHWEST INVESTMENT ADVISORS, INC | NORTHWEST INVESTMENT ADVISORS, INC.

CRD#: 109737 / SEC#: , 8-65282

California

Registered Investment Advisory firm - SEC (5/20/2016 Approved)

Georgia

Registered Investment Advisory firm - SEC (5/8/2014 Approved)

Montana

Registered Investment Advisory firm - SEC (10/16/2008 Approved)

Washington

Registered Investment Advisory firm - SEC (3/25/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

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

Mailing Address

9 S Washington St Ste 210, Spokane, WA 99201

Phone number

(509) 252-4140

Established

Washington since 02/25/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sandra A. Murray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Ann Murray's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sandra Ann Murray's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST INVESTMENT ADVISORS, INC.

L.M. KOHN & COMPANY

L.M. KOHN & COMPANY

MIDSOUTH CAPITAL, INC.

MOODY CAPITAL SOLUTIONS, INC

MIDSOUTH CAPITAL, INC.

MIDSOUTH CAPITAL, INC.

FSC SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

FSC SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

COMPULIFE INVESTOR SERVICES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

MONY SECURITIES CORPORATION

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 1/27/1988

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 14

Date: 12/29/2010

Series 53

Date: 4/17/2003

Series 24

Date: 8/4/1988

FINRA

Current Firm

NORTHWEST INVESTMENT ADVISORS, INC.

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NORTHWEST INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors