Sean Michael Grubb
Professional Summary
Sean Michael Grubb is a registered financial advisor currently at NORTHWEST INVESTMENT ADVISORS, INC. located in Deer Lodge, Montana. Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
NORTHWEST INVESTMENT ADVISORS, INC | NORTHWEST INVESTMENT ADVISORS, INC.
Contact Information
Main Address
9 S Washington St Ste 210 Suite 210, Spokane, WA 99201Mailing Address
9 S Washington St Ste 210, Spokane, WA 99201Phone Number
(509) 252-4140Established
Washington since 02/25/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
15FINRA licenses (14 States and Territories)
Registered to provide investment advisory services in 0 US 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
115AUM (Assets Under Management)
$45,270,132Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/30/2016)
(3/30/2016)
(5/20/2016)
(3/30/2016)
(5/8/2014)
(5/8/2014)
(3/8/2004)
(5/8/2014)
(5/8/2014)
(6/9/2021)
(3/8/2004)
(6/5/2018)
(8/3/2026)
(6/20/2018)
(3/8/2004)
(3/19/2004)
(3/30/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Grubb's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Grubb's CRS (Customer Relationship Summary).
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