SG
Sean M. Grubb
NORTHWEST INVESTMENT ADVISORS
Deer Lodge, MT 59722
Some features on this profile are disabled
CRD#: 4110305
SG
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.
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.
The advisor shows no other business activity.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 19, 2004 - Present
NORTHWEST INVESTMENT ADVISORS, INC.
Office #1: 311 Milwaukee Ave, Deer Lodge, MT 59722Office #2: 9 S Washington St Ste 210, Spokane, WA 99201Office #4: 9 S Washington St Suite 210, Spokane, WA 99201RIA
BD
CRD#: 109737
Deer Lodge, MT
Current
March 8, 2004 - Present
NORTHWEST INVESTMENT ADVISORS, INC.
Office #1: 311 Milwaukee Ave, Deer Lodge, MT 59722Office #2: 9 S Washington St Ste 210, Spokane, WA 99201Office #3: 9 S Washington St Ste 210, Spokane, WA 99201RIA
BD
CRD#: 109737
Deer Lodge, MT
Past
March 12, 2001 - August 4, 2003
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
March 27, 2000 - October 4, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.RR
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
RR
Arizona(3/30/2016)
RR
California(3/30/2016)
IAR
California(5/20/2016)
RR
Colorado(3/30/2016)
RR
Georgia(5/8/2014)
IAR
Georgia(5/8/2014)
RR
Idaho(3/8/2004)
RR
Montana(5/8/2014)
IAR
Montana(5/8/2014)
RR
Nevada(6/9/2021)
RR
Oregon(3/8/2004)
RR
Texas(6/5/2018)
RR
Virginia(6/20/2018)
RR
Washington(3/8/2004)
IAR
Washington(3/19/2004)
RR
Wyoming(3/30/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NI
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)BD
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
16
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
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.
